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 professional with over 25 years of experience in the financial services industry. Richard has a strong background in both investment advisory and brokerage services. Currently, Richard is registered with Charles Schwab & CO., Inc. Richard has previously been registered with TD Ameritrade, Inc., Essex Financial Services, Inc., Raymond James Financial Services, Inc., and Polaris Financial Services, Inc. Richard holds multiple securities licenses including Series 7, 9, 10, 24, 52, 53, 63, 65, and 99. Richard has earned designations from the financial services industry. Richard's experience and expertise make him a valuable resource for individuals seeking financial advice.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Set rates for specific services, regardless of time or assets managed.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
AZ
08/08/2007 - Present
Charles Schwab & CO., Inc. (Phoenix AZ)
NE
09/12/2022 - 12/31/2023
TD AMERITRADE, INC. (OMAHA NE)
CT
09/22/2003 - 06/26/2007
ESSEX FINANCIAL SERVICES, INC. (ESSEX CT)
FL
08/04/2000 - 11/04/2003
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)
NH
07/29/1997 - 07/05/2000
POLARIS FINANCIAL SERVICES, INC. (CONCORD NH)
IA
Issued 10/23/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/11/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/01/2000
Series 4 - Registered Options Principal Examination
BC
Issued 04/08/1998
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/09/1998
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/28/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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