Leonard Simpson

1. What are your firm names?

• Registered Investment Advisor

  Ameritas Investment Corp.

• Broker Dealer

  Ameritas Investment Corp.

2. What is your type of RIA registration?

• SEC

3. Are you a sole practitioner or a member of a firm or team?

• Member of a Firm (Multiple Professionals; Same Employer)

4. What is your relationship to your Registered Investment Advisor?

• Partner

5. What are your years of applicable financial service experience?

• 26 Years

6. Do you have any college degree(s)?

7. Do you belong to any industry associations?

• Financial Planning Association
• Intl Assn of Registered Financial Consultants
• Society of Financial Service Professionals

8. What is your CRD or IARD number?

• 1755726

9. Do you hold any active securities licenses?

• Series ["Series 6", "Series 7", "Series 24", "Series 63", "Series 65", "Series 66", ""]

10. Which categories of financial services do you provide?

• Financial Planning Advice & Services
• Investment Advice & Services
• Insurance Advice & Services

11. Which planning services do you provide?

• Financial Plans
• Retirement Plans
• College Plans
• Estate Plans
• Charitable Plans
• Tax Plans

12. Which investment advisory services do you provide?

• Investment Strategy & Policy
• Risk Management
• Rebalancing
• Money Manager Selection
• Performance Reports
• Other
• Asset Allocation

13. If you make investment decisions for clients, how do you invest their assets?

• None (I do not provide discretionary advice)

14. How many clients (not accounts) do you currently service?

• 1000+

15. What amount of client assets is currently under your management or advisement?

• $180 million

16. What is minimum fee for your planning services?

• $2,700

17. What is your minimum asset requirement for your investment services?

• $250,000

18. What is your minimum net worth requirement for your planning services?

• None

19. What type of compensation do you receive for your planning services?

• Fixed Fees
• Hourly Fees

20. What type of compensation do you receive for your investment advisory services?

• Asset Based Fees

21. Do you work with remote clients over the Internet and telephone?

• Yes

22. Do you hold any active insurance licenses?

• ["Life", "Fixed Annuity", "Variable Annuity", "Health Disability", ""]

23. Are you a Registered Investment Advisor or an Investment Advisor Representative?

• Yes

24. Do you acknowledge you are a fiduciary when you provide financial advice and services for fees?

• Yes

25. What states are covered by your registration(s) to sell investment advisory services?

• California
• Florida
• Nevada
• Oregon
• Rhode Island
• Texas

26. What states are covered by your registration(s) to sell investment and brokerage products?

• California
• Florida
• Nevada
• Oregon
• Rhode Island
• Texas

27. What states are covered by your registration(s) to sell insurance products?

28. Do you have any compliance disclosures for the past 5 years?

• Investment Disclosures: No
• Insurance Disclosures: No

29. Do you have any criminal disclosures since you became an adult?

• Misdemeanors: No
• Felonies: No

30. How do investors view your ADV Part II?

• View ADV

31. Additional Disclosure Statements or Comments

• Securities and investment advisory services are offered solely through Ameritas Investment Corp. (“AIC”). Member FINRA/SIPC.AIC and 20/20 Financial Advisers of Sacramento, L.L.C. are not affiliated. Additional products and services may be available through Leonard Simpson or 20/20 Financial Advisers of Sacramento, L.L.C. that are not offered by AIC.

32. What languages do you speak fluently?

• English

33. What is your primary role?

• Financial Planner

34. Which investment products do you sell?

• Mutual Funds
• REITs
• Private Placements
• Other

35. Which insurance products do you sell?

• Life
• Fixed Annuities
• Variable Annuities
• Disability Income
• Other
• Executive
• Business

36. Do you provide tax advice and services?

• No

37. Do you provide legal advice and services?

• No

38. Do you provide any limited engagement services?

• Planning Only (No investment services)
• Financial Plan Reviews
• Investment Portfolio Reviews

39. What types of clients do you work with?

• Individuals
• High Net Worth Individuals
• Companies (Pension)
• Endowments
• Foundations
• Public Funds
• Companies (Non-Pension)

40. Where does your first meeting with a prospective client take place?

• My Location

41. Which companies act as custodians for your clients assets?

• Pershing

42. What types of reports do you provide your clients and what is the frequency?

• Performance (Quarterly)
• Brokerage Statement (Quarterly)
• Market Environment (Quarterly)
• Newsletters (Not Applicable)
• Other (Not Applicable)

Details for Other: Weekly financial articles and economic updates

Certification