Brooke Simmons

Chief Compliance Officer

Brooke began her career in the financial services industry in 1995 as a Client Service Assistant. By 1998, she obtained her securities registration and realized that she really loved the legal and compliance side of the business. She can see things from a risk standpoint and can guide the Advisors in how to get their business done in a clean and issue-free way. She continued with her efforts and now has 5 securities registrations currently held with LPL Financial as well as her insurance license. Brooke has been the Chief Compliance Officer since joining Thiesen Dueker Group in 2010 and handles all regulatory responsibilities including supervision of the Advisors and their businesses.

Outside of compliance, Brooke is a huge baseball fan. From spring to fall, she can be found closely following the Giants work their way to the World Series. The top item on her ‘bucket list’ is to attend a baseball game in every Major League Ballpark with her husband, Mike. She and Mike have two children, Austin and Madison.

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