Carrie M. Thomas

HOLIDAY PARTNERS LLC

CINCINNATI, OH 45246

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CRD#: 6272093

Professional summary

Carrie Michelle Thomas, who also goes by Carrie M Thomas, Carrie Michelle Thomas, is a registered financial advisor currently at HOLIDAY PARTNERS LLC located in Cincinnati, Ohio and SIMS INVESTMENT MANAGEMENT LLC located in Cincinnati, Ohio.

Carrie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Carrie has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carrie M Thomas | Carrie Michelle Thomas

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 Carrie Michelle Thomas'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

February 7, 2025 - Present

HOLIDAY PARTNERS LLC

Office #1: 1096 Laurel Avenue, Cincinnati, OH 45246

RIA

CRD#: 334857

CINCINNATI, OH

Current

February 10, 2026 - Present

SIMS INVESTMENT MANAGEMENT LLC

Office #1: 3322 Erie Ave. Suite 200, Cincinnati, OH 45208

RIA

CRD#: 169491

CINCINNATI, OH

Past

November 18, 2024 - March 10, 2025

HOLIDAY WEALTH MANAGEMENT LLC

RIA

CRD#: 333958

CINCINNATI, OH

Past

July 29, 2024 - October 9, 2024

HORAN CAPITAL ADVISORS, LLC

RIA

CRD#: 152888

CINCINNATI, OH

Past

March 19, 2021 - December 31, 2023

ROCKEFELLER FINANCIAL LLC

RIA

CRD#: 291361

Cincinnati, OH

Past

March 19, 2021 - December 31, 2023

ROCKEFELLER FINANCIAL LLC

CRD#: 291361

Cincinnati, OH

Past

April 8, 2014 - March 23, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CINCINNATI, OH

Past

February 13, 2014 - March 23, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CINCINNATI, OH

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".

SIMS INVESTMENT MANAGEMENT LLC

CRD#: 169491 / SEC#: 801-123034

RIA

Registered Investment Advisory firm - (1/13/2022 Approved)

California

Registered Investment Advisory firm - (2/20/2022 Terminated)

Florida

Registered Investment Advisory firm - (1/21/2022 Terminated)

Kentucky

Registered Investment Advisory firm - (1/24/2022 Terminated)

Louisiana

Registered Investment Advisory firm - (2/1/2022 Terminated)

Maryland

Registered Investment Advisory firm - (12/31/2017 Terminated)

Ohio

Registered Investment Advisory firm - (1/21/2022 Terminated)

Texas

Registered Investment Advisory firm - (1/21/2022 Terminated)

West Virginia

Registered Investment Advisory firm - (1/21/2022 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

Ohio
(2/7/2025)

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: 4/7/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/13/2014

General Securities Representative Examination

Current Firm

SIMS INVESTMENT MANAGEMENT LLC

CRD#: 169491 / SEC#: 801-123034

RIA

Registered Investment Advisory firm - (1/13/2022 Approved)

California

Registered Investment Advisory firm - (2/20/2022 Terminated)

Florida

Registered Investment Advisory firm - (1/21/2022 Terminated)

Kentucky

Registered Investment Advisory firm - (1/24/2022 Terminated)

Louisiana

Registered Investment Advisory firm - (2/1/2022 Terminated)

Maryland

Registered Investment Advisory firm - (12/31/2017 Terminated)

Ohio

Registered Investment Advisory firm - (1/21/2022 Terminated)

Texas

Registered Investment Advisory firm - (1/21/2022 Terminated)

West Virginia

Registered Investment Advisory firm - (1/21/2022 Terminated)

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Contact information

Main Address

3322 Erie Ave. Suite 200, Cincinnati, OH 45208

Mailing Address

Phone number

(513) 278-7467

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SIMS INVESTMENT MANAGEMENT ADV BROCHURE (2/5/2025)

Regulatory assets under management

Total Number of Accounts	1,752
AUM (Assets Under Management)	$ 245,920,179

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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Carrie M. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carrie Michelle Thomas's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIMS INVESTMENT MANAGEMENT LLC

HOLIDAY WEALTH MANAGEMENT LLC

HORAN CAPITAL ADVISORS, LLC

ROCKEFELLER FINANCIAL LLC

ROCKEFELLER FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

SIMS INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/7/2014

SIE

Date: 10/1/2018

Series 7

Date: 2/13/2014

Current Firm

SIMS INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SIMS INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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