Marla E. 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.
Marla E Sims was a registered financial professional .
Marla is a previously registered financial professional and started their career in finance in 2002. Marla had worked at 3 firms and has passed the Series 65, Series 63, SIE 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
May 11, 2009 - December 31, 2018
BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
March 3, 2009 - October 19, 2016
BROWN BROTHERS HARRIMAN & CO.
November 16, 2006 - January 12, 2009
BROWN BROTHERS HARRIMAN & CO.
May 6, 2002 - February 24, 2005
SANFORD C. BERNSTEIN & CO., LLC
Primary Firm SEC Registration
BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
CRD#: 111231 / SEC#: 801-60256
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
BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT
CRD#: 111231 / SEC#: 801-60256
Contact information
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 15 |
| AUM (Assets Under Management) | $ 24,917,256,923 |
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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