Billy Floyd Sims Jr
Professional Summary
Billy Floyd Sims JR, who also goes by Bill Sims, is a registered financial advisor currently at ISC ADVISORS, INC. located in Dallas, Texas and INSTITUTIONAL SECURITIES CORPORATION located in Dallas, Texas. Billy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Billy has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Bill Sims
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
ISC ADVISORS, INC.
Contact Information
Main Address
3500 Oak Lawn Ave Ste 400, Dallas, TX 75219Phone Number
(214) 520-1115# of Employees
30SEC notice filing (18 States and Territories)
Registered to provide investment advisory services in 18 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,928AUM (Assets Under Management)
$1,617,801,120Similar Advisors
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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.
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Primary Firm SEC Registration
ISC ADVISORS, INC.
State Registrations and Notice Filings
(1/18/2021)
(1/6/2021)
(1/5/2021)
(1/6/2021)
(1/6/2021)
(7/16/2019)
(1/8/2021)
(1/6/2021)
(1/5/2021)
(1/6/2021)
(6/28/2019)
(7/1/2019)
(4/21/2022)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 22 — Direct Participation Programs Representative Examination
Passed Oct 1986About the Series 22 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Jul 2001About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Billy Floyd Sims JR's CRS (Customer Relationship Summary).
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