Brenda J. Sims

T. ANTON INVESTMENT HOUSE

MADISON, WI 53717-2174

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CRD#: 5501442

Professional summary

Brenda Joyce Sims is a registered financial advisor currently at T. ANTON INVESTMENT HOUSE, INC. located in Madison, Wisconsin.

Brenda is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Brenda has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brenda Joyce Sims'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

September 5, 2020 - Present

T. ANTON INVESTMENT HOUSE, INC.

Office #1: 708 Heartland Trail Suite #3000, Madison, WI 53717-2174

RIA

CRD#: 174970

MADISON, WI

Past

September 18, 2009 - August 17, 2015

GOOGINS ADVISORS, INC

CRD#: 13985

MIDDLETON, WI

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".

T. ANTON INVESTMENT HOUSE, INC.

CRD#: 174970 / SEC#: 801-108785

RIA

Registered Investment Advisory firm - (1/3/2017 Approved)

Arizona

Registered Investment Advisory firm - (3/1/2019 Terminated)

Wisconsin

Registered Investment Advisory firm - (3/9/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Wisconsin
(9/5/2020)

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

IAR

Series 65

Date: 9/5/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/27/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/17/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/17/2009

Investment Company Products/Variable Contracts Representative Examination

Current Firm

T. ANTON INVESTMENT HOUSE, INC.

CRD#: 174970 / SEC#: 801-108785

RIA

Registered Investment Advisory firm - (1/3/2017 Approved)

Arizona

Registered Investment Advisory firm - (3/1/2019 Terminated)

Wisconsin

Registered Investment Advisory firm - (3/9/2017 Terminated)

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Contact information

Main Address

708 Heartland Trail Suite #3000, Madison, WI 53717-2174

Mailing Address

Phone number

(608) 501-1549

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2AB FOR T. ANTON INVESTMENT HOUSE, INC. (3/12/2025)

Regulatory assets under management

Total Number of Accounts	869
AUM (Assets Under Management)	$ 331,877,251

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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Brenda J. Sims

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brenda Joyce Sims's CRS (Customer Relationship Summary).

Certified licenses

Experience

T. ANTON INVESTMENT HOUSE, INC.

GOOGINS ADVISORS, INC

Primary Firm SEC Registration

T. ANTON INVESTMENT HOUSE, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/5/2020

Series 63

Date: 8/27/2009

SIE

Date: 8/17/2015

Series 6

Date: 9/17/2009

Current Firm

T. ANTON INVESTMENT HOUSE, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

T. ANTON INVESTMENT HOUSE, INC.

TRUST BUT VERIFY

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