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John Rae Sims

LPl Financial LLC

Baton Rouge, LA

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-12-09
LA RA APPROVED 2025-04-30
  • TX RA
    APPROVED
    Since 2025-12-09
  • LA RA
    APPROVED
    Since 2025-04-30

Branch Locations

5063 Essen Lane, Baton Rouge, LA 70809 • 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
Vector Marketing Baton Rouge Baton Rouge LA 09/2015 02/2021
Northwestern Mutual Life Insurance Company Milwaukee WI 03/2021 12/2024
Northwestern Mutual Investment Services Llc Baton Rouge LA 06/2021 12/2024
Northwestern Mutual Wealth Management Company Milwaukee WI 08/2022 12/2024
Lpl Financial, Llc Baton Rouge, LA 12/2024 Present
  • 09/2015 → 02/2021
    Vector Marketing Baton Rouge
    Baton Rouge, LA
  • 03/2021 → 12/2024
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 06/2021 → 12/2024
    Northwestern Mutual Investment Services Llc
    Baton Rouge, LA
  • 08/2022 → 12/2024
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 12/2024 → Present
    Lpl Financial, Llc
    Baton Rouge,, LA
Other Businesses

1)11/29/2024 - Red River Investments Group - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s)

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2021-11-27
  • S63 Uniform Securities Agent State Law Examination
    2021-11-27
Designations
Other Names
  • John Rae Sims
  • Johnny Sims Sims

View on SEC IAPD

Other Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RAYMOND JAMES & ASSOCIATES, INC.
CETERA INVESTMENT ADVISERS LLC
BERNHARD CAPITAL PARTNERS MANAGEMENT, LP
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
3RD STREET CAPITAL MANAGEMENT L.L.C.
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Other Investors

RYAN MATTHEW MALONE
Andrew K Scholl
DANIELLE T CREPPEL
Thomas S Piland
BRIAN M SARTIN
Michael T Fels
Paul B Langston
TERENCE E GINN

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · BATON ROUGE, LA
RAYMOND JAMES & ASSOCIATES, INC. · BATON ROUGE, LA
CETERA INVESTMENT ADVISERS LLC · BATON ROUGE, LA
RAYMOND JAMES & ASSOCIATES, INC. · BATON ROUGE, LA
BERNHARD CAPITAL PARTNERS MANAGEMENT, LP · BATON ROUGE, LA
MORGAN STANLEY · Baton Rouge, LA
J.P. MORGAN SECURITIES LLC · Baton Rouge, LA
J.P. MORGAN SECURITIES LLC · BATON ROUGE, LA

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