Raymond D. Sims

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CRD#: 2262266

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.

Raymond Donald Sims, who also goes by Ray Sims, Raymond D Sims, was a registered financial professional .

Raymond is a previously registered financial professional and started their career in finance in 1995. Raymond had worked at 8 firms and has passed the Series 65, Series 63, Series 25, Series 7, Series 6, Series 27, Series 14, Series 24 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ray Sims | Raymond D 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.

The advisor shows no other business activity.

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

May 7, 2007 - April 8, 2014

FRED ALGER & COMPANY, LLC

CRD#: 5300

NEW YORK, NY

Past

April 26, 2004 - October 28, 2004

R.J. MURPHY & ASSOCIATES, LLC

CRD#: 112238

NEW YORK, NY

Past

January 20, 2004 - July 11, 2005

LOMBARDI & CO., INC.

CRD#: 44810

NEW YORK, NY

Past

June 26, 2002 - July 11, 2005

GOETZ, BATCHKER & COMPANY, INC.

CRD#: 32282

NEW YORK, NY

Past

May 29, 2002 - July 3, 2002

MEK SECURITIES, LLC

CRD#: 112066

NEW YORK, NY

Past

October 17, 2000 - May 28, 2002

P.R. BURKE & CO., INC.

CRD#: 13558

NEW YORK, NY

Past

August 19, 1996 - November 2, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 22, 1995 - June 25, 1996

DETWILER FENTON WEALTH MANAGEMENT INC

CRD#: 16063

BOSTON, MA

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/29/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/13/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 25

Date: 3/10/2003

NYSE Trading Assistant Examination

General Industry/Product Exam

Series 7

Date: 8/16/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/21/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 27

Date: 3/20/2004

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 14

Date: 12/22/2003

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 6/19/2003

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 11/26/2002

General Securities Sales Supervisor - General Module Examination

Current Firm

FRED ALGER & COMPANY, LLC

FRED ALGER & COMPANY, INCORPORATED | FRED ALGER & COMPANY, LLC

CRD#: 5300 / SEC#: , 8-15900

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

100 Pearl Street 27th Floor, New York, NY, 10004

Mailing Address

100 Pearl Street 27th Floor, New York, NY, 10004

Phone number

(212) 806-8800

Established

Delaware since 10/01/2019

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ALGER GROUP HOLDINGS, LLC	PARENT
HOFMANN, CHRISTOPH	PRESIDENT	4748990
KINCEL, ROBERT LOUIS	CHIEF FINANCIAL OFFICER, PFO, POO	2747237
LEE, AARON SANG	CHIEF COMPLIANCE OFFICER	5240841
PAYNE, TINA	GENERAL COUNSEL	5391957

Disclosures

Regulatory Event	6
Civil Event	1

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

Raymond D. Sims

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

R.J. MURPHY & ASSOCIATES, LLC

LOMBARDI & CO., INC.

GOETZ, BATCHKER & COMPANY, INC.

MEK SECURITIES, LLC

P.R. BURKE & CO., INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

DETWILER FENTON WEALTH MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/29/1996

Series 63

Date: 10/13/1995

Series 25

Date: 3/10/2003

Series 7

Date: 8/16/1996

Series 6

Date: 9/21/1995

Series 27

Date: 3/20/2004

Series 14

Date: 12/22/2003

Series 24

Date: 6/19/2003

Series 10

Date: 11/26/2002

Current Firm

FRED ALGER & COMPANY, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FRED ALGER & COMPANY, LLC

TRUST BUT VERIFY

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