DS
Deborah S. Sims
MADISON AVENUE SECURITIES
San Diego, CA 92110
Some features on this profile are disabled
CRD#: 1275290
DS
Professional summary
Deborah Sue Sims, AIF®, who also goes by Debbie Moore, Deborah Sue Thompson, is a registered financial advisor currently at MADISON AVENUE SECURITIES, LLC located in San Diego, California.
Deborah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Deborah has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Debbie Moore | Deborah Sue Thompson
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. NAME: ESTATE MANAGEMENT GROUP; INV RELATED: NO; ADDRESS: 3940 HORTENSIA STREET, SUITE 103 SAN DIEGO, CA 92110 & 16906 VIA DE SANTA FE, RANCHO SANTA FE, CA 92067; NATURE: DBA ONLY; POSITION: PRINCIPLE; START DATE: 11/30/2014; HOURS/MONTH: LESS THAN 1; TRADING HOURS/MONTH: 0; DUTIES: PRINCIPLE-DBA ONLY 2.NAME: ENGAGING WOMEN IN WEALTH; INV RELATED: NO; ADDRESS: 3940 HORTENSIA STREET, SUITE 103 SAN DIEGO, CA 92110 & 16906 VIA DE SANTA FE, RANCHO SANTA FE, CA 92067; NATURE: DBA ONLY; POSITION: PRINCIPLE; START DATE: 11/30/2014; HOURS/MONTH: LESS THAN 1; TRADING HOURS/MONTH: 0; DUTIES: PRINCIPLE-DBA ONLY 3.NAME: ADVISORS EXCEL; INV RELATED: YES; ADDRESS: 2950 SW MCCLURE ROAD, TOPEKA, KS 66614; NATURE:INSURANCE PRODUCTS OFFERED THROUGH AE, CREATIVE SERVICES PROVIDED BY AE; POSITION:INSURANCE AGENT; START DATE:02/21/2020; HOURS/MONTH:40; TRADING HOURS/MONTH:40; DUTIES:INSURANCE SALES 4.NAME: LTC Insurance & Life Insurance; INV RELATED: NO; ADDRESS: 3940 HORTENSIA STREET, SUITE 103 SAN DIEGO, CA 92110 & 16906 VIA DE SANTA FE, RANCHO SANTA FE, CA 92067; NATURE: LTC Insurance; POSITION: Agent; START DATE: 9/2020; HOURS/MONTH: LESS THAN 1; TRADING HOURS/MONTH: 0; DUTIES: LTC Insurance Agent. 5. RENTAL PROPERTY; INV RELATED: NO; ADDRESS:2517 OCEAN COVE, CARDIFF CA 92007; NATURE: HOME RENTAL; OWNER AND LANDLORD; START DATE: 09/2014; HOURS/MONTH: LESS THAN 5 A WEEK; TRADING HOURS/MONTH: 0; 6. NAME D SIMS INC.; INV RELATED: NO; NATURE: SUB CHAPTER S FOR TAXES; 7. ChFEBC DESIGNATION; INVESTMENT RELATED: NO; POSITION: HELP FEDERAL EMPLOYEES UNDERSTAND BENEFITS, RETIREMENT, TSP, AND OTHER. HOURS PER WEEK: 1 HOUR; START DATE: 07/2024
CRS (Client Relationship Summary) - RIA
Click below to view Deborah Sue Sims's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Deborah Sue Sims's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
March 10, 2020 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 3940 Hortensia Street Suite 103, San Diego, CA 92110Office #2: 16906 Via De Santa Fe, Rancho Santa Fe, CA 92067RIA
BD
CRD#: 23224
San Diego, CA
Current
March 9, 2020 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 3940 Hortensia Street Suite 103, San Diego, CA 92110Office #2: 16906 Via De Santa Fe, Rancho Santa Fe, CA 92067RIA
BD
CRD#: 23224
San Diego, CA
Past
September 20, 2019 - March 9, 2020
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SAN DIEGO, CA
Past
October 6, 2015 - March 9, 2020
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
San Diego, CA
Past
September 21, 2015 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
SAN DIEGO, CA
Past
June 27, 2012 - December 31, 2015
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 124446
SAN DIEGO, CA
Past
July 5, 2007 - December 4, 2015
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
SAN DIEGO, CA
Past
January 3, 2003 - July 12, 2007
BROOKSTREET SECURITIES CORPORATION
BD
CRD#: 14667
SAN DIEGO, CA
Past
April 23, 2002 - December 20, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
January 2, 2002 - May 9, 2002
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
ORANGE, CA
Past
November 19, 2001 - February 1, 2002
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(3/16/2020)
RR
California(3/10/2020)
IAR
California(3/10/2020)
RR
Colorado(3/10/2020)
RR
Florida(8/19/2021)
RR
Kansas(3/17/2020)
RR
Massachusetts(3/10/2020)
RR
Minnesota(3/13/2020)
RR
Missouri(3/9/2020)
RR
Nevada(3/16/2020)
RR
New Mexico(3/13/2020)
RR
New York(3/17/2020)
RR
North Carolina(1/9/2024)
RR
Oregon(3/17/2020)
RR
South Carolina(7/29/2025)
RR
Texas(3/12/2020)
IAR
Texas(6/4/2020)
RR
Utah(3/10/2020)
RR
Virginia(3/10/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Mailing Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Phone number
(858) 207-1300
Established
Delaware since 05/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
93
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
