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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Morgan Sime is a financial advisor with over 30 years of experience in the financial services industry. Thomas currently works at Morgan Stanley, a firm with over $1 trillion in assets under management. Thomas has a diverse background, having worked at a variety of firms including Wells Fargo Clearing Services, LLC, RBC Dain Rauscher Inc., and Advest, Inc. Thomas is registered as an Investment Advisor Representative in New Jersey, New York, and Texas, and is also a Registered Representative in 21 states.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
04/26/2023 - Present
Morgan Stanley (Rochester NY)
NY
10/05/2007 - 03/06/2017
WELLS FARGO CLEARING SERVICES, LLC (ROCHESTER NY)
NY
04/30/2004 - 10/23/2007
RBC DAIN RAUSCHER INC. (ROCHESTER NY)
CT
08/27/1999 - 05/27/2004
ADVEST, INC. (HARTFORD CT)
MO
10/25/1996 - 09/02/1999
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
05/13/1994 - 10/29/1996
ESSEX CAPITAL MARKETS, INC. (ROCHESTER NY)
NJ
03/16/1983 - 05/06/1994
PRUCO SECURITIES CORPORATION (NEWARK NJ)
IA
Issued 08/27/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/29/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/12/1992
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/26/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 02/14/1997
Series 7 - General Securities Representative Examination
BC
Issued 02/10/1995
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 05/26/1994
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 02/26/1983
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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