Nelrose Sims
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nelrose Sims, who also goes by Nelrose Anderson, Nellie Sims, Nelrose Anderson Sims, was a registered financial professional .
Nelrose is a previously registered financial professional and started their career in finance in 1980. Nelrose had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2015 - July 20, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 14, 2015 - July 20, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 31, 2007 - December 12, 2007
UBS INTERNATIONAL INC.
November 18, 2004 - January 26, 2006
CITY NATIONAL SECURITIES, INC.
April 4, 2001 - March 10, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 8, 1988 - December 31, 1988
FSC SECURITIES CORPORATION
September 10, 1986 - February 23, 1988
INVEST FINANCIAL CORPORATION
February 12, 1985 - May 31, 1985
THOMSON MCKINNON SECURITIES INC.
January 31, 1984 - November 21, 1984
MF GLOBAL INC.
June 2, 1980 - December 5, 1983
SCHNEIDER, BERNET & HICKMAN, INC.
May 23, 1980 - February 12, 1985
SCHNEIDER, BERNET & HICKMAN, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
