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JS

Jeffrey N. Sime

WILSON-DAVIS & CO.
Salt Lake City, UT 84101-2104
Some features on this profile are disabled
CRD#: 1554798
JS

Professional summary

Jeffrey Norman Sime, who also goes by Jeff Sime, is a registered financial professional currently at WILSON-DAVIS & CO., INC. located in Salt Lake City, Utah.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1994. Jeffrey has worked at 7 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 52TO, SIE, Series 7, Series 53, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeff Sime

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 Jeffrey Norman Sime's CRS (Customer Relationship Summary).
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

January 10, 2025 - Present

WILSON-DAVIS & CO., INC.

Office #1: 236 South Main Street, Salt Lake City, UT 84101-2104
BD
CRD#: 3777
Salt Lake City, UT
Past

January 17, 2024 - December 20, 2024

LIME TRADING CORP

BD
CRD#: 11826
NEW YORK, NY
Past

February 17, 2022 - December 7, 2023

EMBED CLEARING LLC

BD
CRD#: 309519
VANCOUVER, WA
Past

July 23, 2019 - February 15, 2022

AXOS INVEST LLC

BD
CRD#: 172393
LAS VEGAS, NV
Past

November 1, 2010 - February 15, 2022

AXOS CLEARING LLC

BD
CRD#: 117176
Omaha, NE
Past

April 7, 2009 - December 8, 2010

NUNAMI SERVICES, LLC.

BD
CRD#: 133837
DENVER, CO
Past

June 4, 2002 - June 20, 2007

AXOS CLEARING LLC

BD
CRD#: 117176
OMAHA, NE
Past

March 15, 1994 - October 18, 2002

KFS BD, INC.

BD
CRD#: 490
OMAHA, NE

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
Nebraska
(1/10/2025)
RR
Utah
(1/10/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 11/26/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/14/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/11/2002
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/16/1995
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/30/1994
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

W&
WILSON-DAVIS & CO., INC.
WILSON-DAVIS & CO., INC.

CRD#: 3777 / SEC#: , 8-14299

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
236 South Main Street, Salt Lake City, UT 84101-2104
Mailing Address
P.o. Box 11587, Salt Lake City, UT 84147-0587
Phone number
(801) 532-1313
Established
Utah since 11/12/1968
Firm type
Corporation
Fiscal year end
June
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

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ATLASCLEAR HOLDINGS, INC.OWNER
EGGERTZ, LINCOLN TYLERCHIEF COMPLIANCE OFFICER | CHIEF AML COMPLIANCE OFFICER7336125
LOSSER, JANA MARIEPRINCIPAL OPERATIONS OFFICER4562682
SIME, JEFFREY NORMANPRINCIPAL FINANCIAL OFFICER1554798
SIME, JEFFREY NORMANCEO1554798

Disclosures

Regulatory Event57
Arbitration1

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

WILSON-DAVIS & CO., INC.

CRD#: 3777Salt Lake City, UT 84101-2104

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