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Richard Thomas Sims

Charles Schwab & Co., Inc.

Phoenix, AZ

Orlando, FL

CRD 2897030

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2023-05-26
CA RA APPROVED 2007-08-08
  • AZ RA
    APPROVED
    Since 2023-05-26
  • CA RA
    APPROVED
    Since 2007-08-08

Branch Locations

2423 E Lincoln Dr, Phoenix, AZ 85016-1215 • United States

1958/1950/1991/2001 Summit Park Dr. Orlando Campus, Orlando, FL 32810 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab & Co., Inc. Phoenix AZ 07/2007 Present
Td Ameritrade, Inc. Phoenix AZ 09/2022 06/2024
Previous Registrations
  • 2022-09-12 → 2022-10-14
    Td Ameritrade, Inc.
    Phoenix, AZ
    Omaha, NE
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-10-23
S63 Uniform Securities Agent State Law Examination 1998-05-11
  • S65 Uniform Investment Adviser Law Examination
    2001-10-23
  • S63 Uniform Securities Agent State Law Examination
    1998-05-11

View on SEC IAPD

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Nearby Investors

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Jamie L Morton

Nearby Offices

EW ADVISER, LLC · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ

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