Caitlin S. Borland

ARIA WEALTH PARTNERS

CHARLOTTESVILLE, VA 22903

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CRD#: 5710459

Professional summary

Caitlin Somerset Borland, who also goes by Caitlin Somerset Sims, Caitlin Sims, is a registered financial advisor currently at ARIA WEALTH PARTNERS located in Charlottesville, Virginia.

Caitlin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Caitlin has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Caitlin Somerset Sims | Caitlin 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.

In addition to fees received for investment advisory services, Caitlin Borland receives additional compensation for licensed insurance and annuity sales and revenue where she spends less than 5 hours a month (during business hours). Insurance sales are investment-related, and processed in the name of Caitlin Borland at the office of Aria Wealth Partners. She has been licensed to sell insurance since December 2021.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caitlin Somerset Borland'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

January 22, 2025 - Present

ARIA WEALTH PARTNERS

Office #1: 505 Faulconer Drive Suite 2a, Charlottesville, VA 22903

RIA

CRD#: 334270

CHARLOTTESVILLE, VA

Past

January 27, 2022 - January 29, 2025

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

CHARLOTTESVILLE, VA

Past

January 27, 2022 - January 29, 2025

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

CHARLOTTESVILLE, VA

Past

October 14, 2009 - October 1, 2016

J.P. MORGAN CLEARING CORP.

CRD#: 28432

NEW YORK, NY

Past

October 14, 2009 - June 13, 2018

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

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".

ARIA WEALTH PARTNERS

ARIA WEALTH PARTNERS | ARIA WEALTH PARTNERS, LLC

CRD#: 334270 / SEC#: 801-131770

RIA

Registered Investment Advisory firm - (1/21/2025 Approved)

Virginia

Registered Investment Advisory firm - (9/19/2025 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

Virginia
(1/22/2025)

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 66

Date: 11/4/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/15/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/13/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/13/2009

General Securities Representative Examination

Current Firm

ARIA WEALTH PARTNERS

ARIA WEALTH PARTNERS | ARIA WEALTH PARTNERS, LLC

CRD#: 334270 / SEC#: 801-131770

RIA

Registered Investment Advisory firm - (1/21/2025 Approved)

Virginia

Registered Investment Advisory firm - (9/19/2025 Terminated)

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Contact information

Main Address

505 Faulconer Drive Suite 2a, Charlottesville, VA 22903

Mailing Address

Phone number

(434) 338-6840

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-2B (8/11/2025)

Regulatory assets under management

Total Number of Accounts	215
AUM (Assets Under Management)	$ 100,501,878

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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Firm Stability Insights

Caitlin S. Borland

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caitlin Somerset Borland's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

J.P. MORGAN CLEARING CORP.

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

ARIA WEALTH PARTNERS

State Registrations and Notice Filings

Exams

Series 66

Date: 11/4/2021

Series 63

Date: 10/15/2009

SIE

Date: 6/13/2018

Series 7

Date: 10/13/2009

Current Firm

ARIA WEALTH PARTNERS

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARIA WEALTH PARTNERS

TRUST BUT VERIFY

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