AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
WS

William M. Sims

PINE DISTRIBUTORS LLC
OVERLAND PARK, KS 66211
Some features on this profile are disabled
CRD#: 1515854
WS

Professional summary

William Maccarter Sims, who also goes by Carter Sims, is a registered financial professional currently at PINE DISTRIBUTORS LLC located in Overland Park, Kansas.

William is registered as a RR (Registered Representative) and started their career in finance in 1986. William has worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carter Sims

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Maccarter 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®
None

Experience

Current

April 28, 2025 - Present

PINE DISTRIBUTORS LLC

Office #1: 5901 College Boulevard Suite 400, Overland Park, KS 66211
BD
CRD#: 323408
OVERLAND PARK, KS
Past

May 19, 2017 - October 28, 2022

THORNBURG SECURITIES LLC

BD
CRD#: 14857
Denver, CO
Past

March 1, 2006 - July 22, 2016

SCHRODER FUND ADVISORS LLC

BD
CRD#: 24129
NEW YORK, NY
Past

August 10, 2004 - September 21, 2005

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
BOSTON, MA
Past

June 25, 2002 - August 12, 2004

BACAP DISTRIBUTORS, LLC

BD
CRD#: 46088
CHARLOTTE, NC
Past

July 3, 2001 - February 7, 2002

STEPHENS

BD
CRD#: 3496
LITTLE ROCK, AR
Past

March 1, 2000 - July 5, 2001

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
COLUMBUS, OH
Past

June 9, 1998 - December 31, 1998

OLD MUTUAL INVESTMENT PARTNERS

BD
CRD#: 44916
BOSTON, MA
Past

August 4, 1997 - July 7, 1998

SEI INVESTMENTS DISTRIBUTION CO.

BD
CRD#: 10690
OAKS, PA
Past

January 6, 1995 - May 21, 1997

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI
Past

April 2, 1991 - December 20, 1994

GIRARD INVESTMENT SERVICES, LLC

BD
CRD#: 1834
SOUDERTON, PA
Past

July 24, 1986 - January 4, 1989

GIRARD INVESTMENT SERVICES, LLC

BD
CRD#: 1834

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(5/21/2025)
RR
Arkansas
(12/10/2025)
RR
Colorado
(4/28/2025)
RR
Connecticut
(4/29/2025)
RR
District of Columbia
(5/22/2025)
RR
Florida
(4/28/2025)
RR
Idaho
(5/19/2025)
RR
Kentucky
(4/28/2025)
RR
Louisiana
(5/5/2025)
RR
Maryland
(4/29/2025)
RR
Michigan
(4/28/2025)
RR
Minnesota
(4/28/2025)
RR
Mississippi
(4/28/2025)
RR
Montana
(4/28/2025)
RR
Nebraska
(4/28/2025)
RR
New Jersey
(4/28/2025)
RR
Oklahoma
(4/28/2025)
RR
South Carolina
(4/28/2025)
RR
South Dakota
(4/28/2025)
RR
Texas
(4/28/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 7/25/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/3/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/23/1986
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/26/2007
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 2/14/2005
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PD
PINE DISTRIBUTORS LLC
PINE DISTRIBUTORS LLC

CRD#: 323408 / SEC#: , 8-71004

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
501 S. Cherry Street Suite 610, Denver, CO 80246
Mailing Address
501 S. Cherry Street Suite 610, Denver, CO 80246
Phone number
(720) 651-8092
Established
Delaware since 08/30/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PINE ADVISOR SOLUTIONS LLCMEMBER
FAIRBANKS, MARK ALANPRESIDENT1847318
LEVESQUE, DARYNCOO6482085
MOSCARITOLO, SUSAN KALLAICCO2618909
WAGSTAFF, CONNER FRED IIIFINOP1427591
WOODCOCK, ALEXANDER JAMESPFO6454017

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.

Company Information

PINE DISTRIBUTORS LLC

CRD#: 323408Overland Park, KS 66211

TRUST BUT VERIFY

Monitor William Sims

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

CC
Cathy CashAdvisorCheck Check Mark
MORTON WEALTH
IAR
Santa Barbara, CA
Kevin Joel Smith
Kevin SmithAdvisorCheck Check Mark
JANNEY MONTGOMERY SCOTT LLC
IAR
RR
York, PA
TM
Tania MansouriAdvisorCheck Check Mark
J.P. MORGAN SECURITIES LLC
RR
Encino, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.