David M. 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 Michael Sims was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2007. David had worked at 2 firms and has passed the Series 65, Series 63 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
August 12, 2015 - February 1, 2016
RPK CAPITAL MANAGEMENT
October 22, 2007 - July 11, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
RPK CAPITAL MANAGEMENT
CRD#: 173382 / SEC#:
Contact information
Red Flags
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