Thomas S. Sims
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Stephen Sims, who also goes by Tom Sims, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 9 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2021 - January 3, 2025
REDWOOD PRIVATE WEALTH
March 9, 2018 - October 3, 2019
HORTER INVESTMENT MANAGEMENT, LLC
September 10, 2013 - March 31, 2016
GRADIENT ADVISORS, LLC
October 29, 2012 - August 30, 2013
HORTER INVESTMENT MANAGEMENT, LLC
April 18, 2012 - October 10, 2012
REDHAWK WEALTH ADVISORS, INC.
October 12, 2011 - March 20, 2012
FA ADVISOR NETWORK, LLC.
June 3, 2011 - August 30, 2011
REDHAWK WEALTH ADVISORS, INC.
July 23, 2010 - June 7, 2011
ADVANCED ESTATE SERVICES, LLC
October 13, 1999 - December 31, 2003
LEGACY FINANCIAL SERVICES, INC.
May 6, 1994 - December 31, 1997
WMA SECURITIES, INC.
June 29, 1987 - June 27, 1989
PFS INVESTMENTS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
REDWOOD PRIVATE WEALTH
CRD#: 312942 / SEC#: 801-120723
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,788 |
| AUM (Assets Under Management) | $ 267,560,801 |
Red Flags
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