Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Sims is a financial advisor, registered in 53 states and the District of Columbia. Richard is currently employed at Pimco Investments LLC, having joined the firm on July 27, 2022. Richard has been in the industry since July 25, 2011. Richard is licensed to conduct business in both securities and investment advisory services.
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.
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.
1
2
NY
07/27/2022 - Present
Pimco Investments LLC (NEW YORK NY)
IL
06/30/2017 - 06/21/2022
GUGGENHEIM FUNDS DISTRIBUTORS, LLC (CHICAGO IL)
IL
04/28/2015 - 06/01/2017
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. (CHICAGO IL)
IL
06/18/2012 - 04/28/2015
J.P. MORGAN SECURITIES LLC (CHICAGO IL)
IL
04/20/2011 - 05/15/2012
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
BOTH
Issued 12/16/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/19/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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