Eric E. Simms

GRADIENT CAPITAL ADVISORS

San Diego, CA 92107

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CRD#: 2575354

Professional summary

Eric Eugene Simms is a registered financial advisor currently at GRADIENT CAPITAL ADVISORS, LLC located in San Diego, California.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Eric has worked at 4 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

FIDUCIARY ACTIVITIES:SUCCESSOR TRUSTEE,COMP:$0

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Eugene Simms'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 23, 2014 - Present

GRADIENT CAPITAL ADVISORS, LLC

Office #1: 2125 Poinsettia Drive, San Diego, CA 92107

RIA

CRD#: 168912

San Diego, CA

Past

December 15, 1997 - January 24, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SAN DIEGO, CA

Past

February 15, 1996 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

February 15, 1996 - January 24, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

SAN DIEGO, CA

Past

March 23, 1995 - June 22, 1995

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

LOS ANGELES, CA

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".

GRADIENT CAPITAL ADVISORS, LLC

CRD#: 168912 / SEC#: 801-78917

RIA

Registered Investment Advisory firm - (1/22/2014 Approved)

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

California
(1/23/2014)

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

Series 63

Date: 3/23/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/22/1995

General Securities Representative Examination

Current Firm

GRADIENT CAPITAL ADVISORS, LLC

CRD#: 168912 / SEC#: 801-78917

RIA

Registered Investment Advisory firm - (1/22/2014 Approved)

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Contact information

Main Address

2125 Poinsettia Drive, San Diego, CA 92107

Mailing Address

Phone number

(619) 255-0700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (3/3/2025)

ADV 2A - APPENDIX 1 - WRAP FEE BROCHURE (3/3/2025)

Regulatory assets under management

Total Number of Accounts	1,506
AUM (Assets Under Management)	$ 637,516,873

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.

Contact information

xxxxx@xxxx.xxx

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Eric E. Simms

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Eugene Simms's CRS (Customer Relationship Summary).

Certified licenses

Experience

GRADIENT CAPITAL ADVISORS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

INTERFIRST CAPITAL CORPORATION

Primary Firm SEC Registration

GRADIENT CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/23/1995

Series 7

Date: 3/22/1995

Current Firm

GRADIENT CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GRADIENT CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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