linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Caitlin Sims

National Financial Services LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Caitlin? Claim Your Profile

About Caitlin Sims

Caitlin Sims is a financial advisor with National Financial Services LLC. Caitlin is registered with FINRA. She has a Series 7TO, Series 66 and SIE. Caitlin is located in WESTLAKE, Texas. Previously, Caitlin Sims was associated with FIDELITY BROKERAGE SERVICES LLC in WESTLAKE, Texas.

Firm Information

Caitlin Sims is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Caitlin Sims’s Registration & Firm History

TX

04/17/2024 - Present

National Financial Services LLC (WESTLAKE TX)

TX

04/27/2022 - 03/08/2024

FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)

Not sure if Caitlin Sims is right for you?

Licenses & Designations

BOTH

Issued 06/01/2022

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/27/2022

Series 7TO - General Securities Representative Examination

BC

Issued 04/21/2022

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Caitlin Sims. Review regulatory record here.
Not sure if Caitlin Sims is right for you?