Kevin J. Sims

RICHMARK PRIVATE WEALTH MANAGEMENT

Frankenmuth, MI 48734

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CRD#: 2188196

Professional summary

Kevin Joseph Sims, who also goes by Kevin Joe Sims, is a registered financial advisor currently at RICHMARK PRIVATE WEALTH MANAGEMENT located in Frankenmuth, Michigan.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Kevin has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin Joe 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.

INSURANCE LICENSED; INVESTMENT-RELATED; FRANKENMUTH, MI; INSURANCE SALES; START: 12/1993; 48 HRS/MO DURING TRADING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Joseph 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 15, 2019 - Present

RICHMARK PRIVATE WEALTH MANAGEMENT

Office #1: 516 South Main Street Suite C, Frankenmuth, MI 48734

RIA

CRD#: 290854

Frankenmuth, MI

Past

January 4, 2019 - January 17, 2019

RICHMARK PRIVATE WEALTH MANAGEMENT

RIA

CRD#: 290854

FRANKENMUTH, MI

Past

April 9, 2015 - January 3, 2019

CAPTRUST

RIA

CRD#: 175112

RALEIGH, NC

Past

May 15, 2013 - April 9, 2015

CAPFINANCIAL SECURITIES, LLC.

RIA

CRD#: 126291

CLARKSTON, MI

Past

May 14, 2013 - January 3, 2019

CAPFINANCIAL SECURITIES, LLC.

CRD#: 126291

CLARKSTON, MI

Past

September 2, 2010 - April 18, 2013

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

AUBURN HILLS, MI

Past

August 23, 2010 - April 18, 2013

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

AUBURN HILLS, MI

Past

September 25, 2009 - August 17, 2010

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

BRIDGEPORT, MI

Past

September 25, 2009 - August 17, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

BRIDGEPORT, MI

Past

June 1, 2009 - September 28, 2009

MORGAN STANLEY

CRD#: 149777

SAGINAW, MI

Past

March 14, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SAGINAW, MI

Past

December 6, 2005 - March 16, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

BAY CITY, MI

Past

December 6, 2005 - March 16, 2007

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

BAY CITY, MI

Past

November 5, 1993 - December 31, 2005

CITISTREET EQUITIES LLC

CRD#: 7447

SOMERSET, NJ

Past

December 2, 1991 - October 29, 1992

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

December 2, 1991 - October 29, 1992

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(12/8/2022)

IAR

Michigan
(4/15/2019)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/17/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/16/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/1/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/29/1991

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RICHMARK PRIVATE WEALTH MANAGEMENT

PHYSICIANS FINANCIAL DESIGN | RICHMARK PRIVATE WEALTH MANAGEMENT, LLC | RICHMARK PRIVATE WEALTH MANAGEMENT

CRD#: 290854 / SEC#:

Illinois

Registered Investment Advisory firm - (12/8/2022 Approved)

Michigan

Registered Investment Advisory firm - (6/19/2018 Approved)

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Contact information

Main Address

516 South Main Street Suite C, Frankenmuth, MI 48734

Mailing Address

Phone number

(989) 652-2056

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	424
AUM (Assets Under Management)	$ 52,740,210

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Kevin J. Sims

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Joseph Sims's CRS (Customer Relationship Summary).

Certified licenses

Experience

RICHMARK PRIVATE WEALTH MANAGEMENT

CAPTRUST

CAPFINANCIAL SECURITIES, LLC.

CAPFINANCIAL SECURITIES, LLC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

CITISTREET EQUITIES LLC

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/17/2007

Series 63

Date: 11/16/1993

SIE

Date: 10/1/2018

Series 7

Date: 5/1/2007

Series 6

Date: 11/29/1991

Current Firm

RICHMARK PRIVATE WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RICHMARK PRIVATE WEALTH MANAGEMENT

TRUST BUT VERIFY

Contact information

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