Mark D. Sims

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CRD#: 2239416

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.

Mark D Sims, who also goes by Mark D Sims, Mark Dana Sims, Mark Sims, was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1993. Mark had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mark D Sims | Mark Dana Sims | Mark 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.

Peak American Financial Group, Inc.; investment-related; 2800 North Dallas Parkway, #360, Plano, TX; insurance sales; Client Solutions Manager; started 8/2022. SBDS; not investment-related; 9984 Scripps Ranch Blvd; security; Independent Contractor; started 6/2021. WAG; not investment-related; 8560 West Sunset Blvd, Ste 100, West Hollywood, CA; pet care services; Independent Contractor; started 2/2018.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 3, 2022 - September 20, 2022

PEAK AMERICAN INVESTMENT ADVISORS, INC.

RIA

CRD#: 145056

San Diego, CA

Past

June 8, 2020 - August 24, 2020

EDWARD JONES

CRD#: 250

San Diego, CA

Past

June 5, 2020 - August 24, 2020

EDWARD JONES

RIA

CRD#: 250

San Diego, CA

Past

November 1, 2018 - January 2, 2019

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

SAN DIEGO, CA

Past

October 11, 2018 - January 2, 2019

EQUITABLE ADVISORS, LLC

CRD#: 6627

SAN DIEGO, CA

Past

September 28, 2016 - October 27, 2016

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

April 22, 2014 - October 27, 2016

SCOTTRADE, INC.

CRD#: 8206

SAN DIEGO, CA

Past

September 19, 2012 - May 2, 2013

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

SAN DIEGO, CA

Past

September 19, 2012 - May 2, 2013

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

SAN DIEGO, CA

Past

September 8, 2007 - July 11, 2011

NAVY FEDERAL ASSET MANAGEMENT, LLC

RIA

CRD#: 144244

HERNDON, VA

Past

September 20, 2006 - September 8, 2007

NAVY FEDERAL INVESTMENT SERVICES, LLC

RIA

CRD#: 138459

SAN DIEGO, CA

Past

July 3, 2006 - July 11, 2011

NAVY FEDERAL INVESTMENT SERVICES, LLC

CRD#: 138459

SAN DIEGO, CA

Past

December 19, 2002 - September 20, 2006

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

SAN DIEGO, CA

Past

December 18, 2002 - July 3, 2006

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

SAN DIEGO, CA

Past

April 1, 2001 - December 10, 2002

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

November 15, 1995 - April 1, 2001

BANK UNITED SECURITIES CORP.

CRD#: 30288

HOUSTON, TX

Past

May 5, 1993 - November 13, 1995

INVESTMENT CENTERS OF AMERICA, INC.

CRD#: 16443

APPLETON, WI

Past

March 22, 1993 - June 7, 1993

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PEAK AMERICAN INVESTMENT ADVISORS, INC.

PEAK AMERICAN INVESTMENT ADVISORS, INC. | PURITAN WEALTH MANAGEMENT GROUP | PURITAN INVESTMENT ADVISORS, INC. | PTF INVESTMENT ADVISORS, INC.

CRD#: 145056 / SEC#: 801-133891

RIA

Registered Investment Advisory firm - (7/17/2025 Approved)

Arizona

Registered Investment Advisory firm - (2/18/2022 Terminated)

California

Registered Investment Advisory firm - (8/20/2025 Terminated)

Colorado

Registered Investment Advisory firm - (2/25/2022 Terminated)

Indiana

Registered Investment Advisory firm - (1/22/2020 Terminated)

Kentucky

Registered Investment Advisory firm - (9/17/2013 Terminated)

Louisiana

Registered Investment Advisory firm - (9/30/2013 Terminated)

Michigan

Registered Investment Advisory firm - (10/1/2013 Terminated)

Mississippi

Registered Investment Advisory firm - (1/16/2020 Terminated)

Nevada

Registered Investment Advisory firm - (10/21/2013 Terminated)

New Jersey

Registered Investment Advisory firm - (10/21/2011 Terminated)

Ohio

Registered Investment Advisory firm - (9/17/2013 Terminated)

Oklahoma

Registered Investment Advisory firm - (9/16/2013 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/22/2025 Terminated)

Tennessee

Registered Investment Advisory firm - (4/3/2019 Terminated)

Texas

Registered Investment Advisory firm - (7/21/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 1/6/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/5/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/27/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/18/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PEAK AMERICAN INVESTMENT ADVISORS, INC.

PEAK AMERICAN INVESTMENT ADVISORS, INC. | PURITAN WEALTH MANAGEMENT GROUP | PURITAN INVESTMENT ADVISORS, INC. | PTF INVESTMENT ADVISORS, INC.

CRD#: 145056 / SEC#: 801-133891

RIA

Registered Investment Advisory firm - (7/17/2025 Approved)

Arizona

Registered Investment Advisory firm - (2/18/2022 Terminated)

California

Registered Investment Advisory firm - (8/20/2025 Terminated)

Colorado

Registered Investment Advisory firm - (2/25/2022 Terminated)

Indiana

Registered Investment Advisory firm - (1/22/2020 Terminated)

Kentucky

Registered Investment Advisory firm - (9/17/2013 Terminated)

Louisiana

Registered Investment Advisory firm - (9/30/2013 Terminated)

Michigan

Registered Investment Advisory firm - (10/1/2013 Terminated)

Mississippi

Registered Investment Advisory firm - (1/16/2020 Terminated)

Nevada

Registered Investment Advisory firm - (10/21/2013 Terminated)

New Jersey

Registered Investment Advisory firm - (10/21/2011 Terminated)

Ohio

Registered Investment Advisory firm - (9/17/2013 Terminated)

Oklahoma

Registered Investment Advisory firm - (9/16/2013 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/22/2025 Terminated)

Tennessee

Registered Investment Advisory firm - (4/3/2019 Terminated)

Texas

Registered Investment Advisory firm - (7/21/2025 Terminated)

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Contact information

Main Address

2400 Dallas Parkway Ste 100, Plano, TX 75093

Mailing Address

Phone number

(800) 513-3243

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE (10/2/2025)

Regulatory assets under management

Total Number of Accounts	567
AUM (Assets Under Management)	$ 100,382,397

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.

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Advisor Monitoring

Firm Stability Insights

Mark D. Sims

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EDWARD JONES

EDWARD JONES

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

NAVY FEDERAL ASSET MANAGEMENT, LLC

NAVY FEDERAL INVESTMENT SERVICES, LLC

NAVY FEDERAL INVESTMENT SERVICES, LLC

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

WAMU INVESTMENTS, INC.

BANK UNITED SECURITIES CORP.

INVESTMENT CENTERS OF AMERICA, INC.

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

PEAK AMERICAN INVESTMENT ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/6/2006

Series 63

Date: 8/5/1992

SIE

Date: 10/27/2016

Series 7

Date: 7/19/1993

Series 6

Date: 3/18/1993

Current Firm

PEAK AMERICAN INVESTMENT ADVISORS, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PEAK AMERICAN INVESTMENT ADVISORS, INC.

TRUST BUT VERIFY

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