David H. 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.
David Hagen Sims was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 3 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2018 - April 1, 2022
ONEMAP MINERAL SERVICES LLC
July 21, 1997 - August 23, 1999
MORGAN STANLEY DW INC.
January 23, 1997 - July 9, 1997
NORTHGATE SECURITIES INC.
Primary Firm SEC Registration
ONEMAP MINERAL SERVICES LLC
CRD#: 285938 / SEC#: 801-108816
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
ONEMAP MINERAL SERVICES LLC
CRD#: 285938 / SEC#: 801-108816
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6 |
| AUM (Assets Under Management) | $ 461,655,666 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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