AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DS

Davy K. Sim

PAYDEN & RYGEL DISTRIBUTORS
Los Angeles, CA 90071-1536
Some features on this profile are disabled
CRD#: 5506127
DS

Professional summary

Davy Kung Sim is a registered financial professional currently at PAYDEN & RYGEL DISTRIBUTORS located in Los Angeles, California.

Davy is registered as a RR (Registered Representative) and started their career in finance in 2010. Davy has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Davy Kung Sim's 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

February 1, 2013 - Present

PAYDEN & RYGEL DISTRIBUTORS

Office #1: 333 South Grand Ave 39th Floor, Los Angeles, CA 90071-1536
BD
CRD#: 29868
Los Angeles, CA
Past

June 5, 2012 - December 21, 2012

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
PASADENA, CA
Past

June 4, 2012 - December 21, 2012

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
PASADENA, CA
Past

March 22, 2010 - June 14, 2012

LPL FINANCIAL LLC

RIA
CRD#: 6413
PASADENA, CA
Past

March 22, 2010 - June 14, 2012

LPL FINANCIAL LLC

BD
CRD#: 6413
PASADENA, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(2/1/2013)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/26/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/19/2010
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

P&
PAYDEN & RYGEL DISTRIBUTORS
PAYDEN & RYGEL DISTRIBUTORS

CRD#: 29868 / SEC#: , 8-44622

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
333 South Grand Ave 39th Floor, Los Angeles, CA 90071-1536
Mailing Address
333 South Grand Ave 39th Floor, Los Angeles, CA 90071-1536
Phone number
(213) 625-1900
Established
California since 02/13/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PAYDEN & RYGELSOLE SHAREHOLDER
HERSH, BRADLEY FORRESTCHIEF FINANICAL OFFICER2244165
HUGHES, JEREMY RICHARDCHIEF COMPLIANCE OFFICER4655297
PAYDEN, JOAN ANNCHAIRMAN, CEO, PRESIDENT AND DIRECTOR358476

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.

Company Information

PAYDEN & RYGEL DISTRIBUTORS

CRD#: 29868Los Angeles, CA 90071-1536

TRUST BUT VERIFY

Monitor Davy Sim

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Jon Derek Neuhaus
Jon NeuhausAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
El Segundo, CA
Kenneth Hickman
Kenneth HickmanAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brea, CA
John Tanner Powell
John PowellAdvisorCheck Check Mark
EQUITABLE ADVISORS, LLC
IAR
RR
Los Angeles, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics