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RS

Richard L. Sims

HARTFORD FUNDS
Chicago, IL
Some features on this profile are disabled
CRD#: 5639411
RS

Professional summary

Richard L Sims, CIMA®, who also goes by Richard Lemuel Sims, is a registered financial advisor currently at HARTFORD FUNDS located in Chicago, Illinois and HARTFORD FUNDS DISTRIBUTORS, LLC located in Wayne, Pennsylvania.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Richard has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Richard Lemuel Sims

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 Richard L 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®
CIMA®

Certified Investment Management Analyst

Experience

Current

June 13, 2025 - Present

HARTFORD FUNDS

RIA
CRD#: 147746
Chicago, IL
Current

June 13, 2025 - Present

HARTFORD FUNDS DISTRIBUTORS, LLC

Office #1: 690 Lee Road, Wayne, PA 19087
BD
CRD#: 45995
Wayne, PA
Past

July 27, 2022 - November 15, 2024

PIMCO INVESTMENTS LLC

BD
CRD#: 154957
NEW YORK, NY
Past

June 30, 2017 - June 21, 2022

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

BD
CRD#: 39805
CHICAGO, IL
Past

April 28, 2015 - June 1, 2017

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
CHICAGO, IL
Past

June 18, 2012 - April 28, 2015

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CHICAGO, IL
Past

December 21, 2011 - May 15, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
CHICAGO, IL
Past

April 20, 2011 - May 15, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL

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".
HF
HARTFORD FUNDS
HARTFORD FUNDS | HARTFORD INVESTMENT ADVISORY COMPANY, LLC | HARTFORD FUNDS MANAGEMENT COMPANY, LLC

CRD#: 147746 / SEC#: 801-77209

RIA
Registered Investment Advisory firm - (10/19/2012 Approved)

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.
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
Illinois
(6/13/2025)
IAR
Illinois
(6/13/2025)
RR
Iowa
(6/13/2025)
RR
Minnesota
(6/13/2025)
RR
Wisconsin
(6/13/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/16/2011
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: 4/19/2011
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HF
HARTFORD FUNDS
HARTFORD FUNDS | HARTFORD INVESTMENT ADVISORY COMPANY, LLC | HARTFORD FUNDS MANAGEMENT COMPANY, LLC

CRD#: 147746 / SEC#: 801-77209

RIA
Registered Investment Advisory firm - (10/19/2012 Approved)
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Contact information

Main Address
690 Lee Road, Wayne, PA 19087
Mailing Address
Phone number
(610) 386-1801
Established
Firm type
Fiscal year end
# of Employees
387

SEC notice filing (22 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

HFMC FORM ADV PART 2A (3/24/2025)

Regulatory assets under management

Total Number of Accounts94
AUM (Assets Under Management)$ 137,847,211,395

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

HARTFORD FUNDS

CRD#: 147746Chicago, IL

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