Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Simms has been in the financial services industry since June 1985. Thomas is currently a Registered Representative with Avantax Advisory Services, Inc. and has worked at Raymond James Financial Services, Inc. and First Union Securities, Inc. in the past. Thomas's office is located in Amarillo, Texas, and he is licensed to work in several states. Thomas specializes in helping individuals and businesses with financial planning, portfolio management, and retirement planning. He holds Series 3, 7, 63, and 65 licenses and the SIE designation. Thomas has extensive experience providing investment advice and services, and is committed to helping clients reach their financial goals.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Solicitor referral services to third-party investment managers; participant enrollment meetings
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.
A percentage of the total value of assets under management is charged.
Solicitor fees
1
2
TX
06/29/2016 - Present
Avantax Advisory Services (Amarillo TX)
TX
05/01/2002 - 06/29/2016
RAYMOND JAMES FINANCIAL SERVICES, INC. (AMARILLO TX)
MO
12/03/1998 - 05/06/2002
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NY
06/18/1985 - 11/30/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 08/05/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/27/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/09/1993
Series 3 - National Commodity Futures Examination
BC
Issued 06/15/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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