Mark Grome

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CRD#: 7123593

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.

Mark Grome, who also goes by Mark Joseph Grome, was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 2019. Mark had worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.

Aliases

Mark Joseph Grome

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 21, 2026 - May 28, 2026

SIMS INVESTMENT MANAGEMENT LLC

RIA

CRD#: 169491

CINCINNATI, OH

Past

January 16, 2024 - November 18, 2025

AW SECURITIES

CRD#: 103747

FOLSOM, CA

Past

January 10, 2024 - March 28, 2025

AW SECURITIES

RIA

CRD#: 103747

Cincinnatti, OH

Past

January 9, 2024 - November 18, 2025

ALLWORTH FINANCIAL, L.P.

RIA

CRD#: 111167

Cincinnatti, OH

Past

April 9, 2021 - June 5, 2023

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

FLORENCE, KY

Past

March 11, 2021 - June 5, 2023

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

FLORENCE, KY

Past

September 11, 2019 - March 11, 2020

EDWARD JONES

RIA

CRD#: 250

CINCINNATI, OH

Past

July 12, 2019 - March 11, 2020

EDWARD JONES

CRD#: 250

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 9/9/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/12/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/18/2019

Securities Industry Essentials 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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Advisor Monitoring

Firm Stability Insights

Mark Grome

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AW SECURITIES

AW SECURITIES

ALLWORTH FINANCIAL, L.P.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

SIMS INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/9/2019

Series 7TO

Date: 7/12/2019

SIE

Date: 6/18/2019

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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