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Randall Louis Sims

Schwab Wealth Advisory, Inc.

Lone Tree, CO

CRD 2162198

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Employer firm

Schwab Wealth Advisory, Inc. CRD 159035

168,774 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)

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

Current Employers
Schwab Wealth Advisory, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-01-03
CO RA APPROVED 2015-03-12
  • TX RA
    APPROVED
    Since 2022-01-03
  • CO RA
    APPROVED
    Since 2015-03-12

Branch Locations

9800 Schwab Way, Lone Tree, CO 80124 • 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. Lone Tree CO 01/2015 Present
Schwab Wealth Advisory Inc Lone Tree CO 01/2015 Present
Other Businesses

1) Master Restorations Limited | Investment Related:No|5796 Angie Court|Parker|CO|80134|USA|Construction - Residential/Commercial/Office|Owner|1/15/2014|Less than 20|0|Business operation has ceased but LLC is still in active status with the State of Colorado

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-03-23
S63 Uniform Securities Agent State Law Examination 1991-08-02
  • S66 Uniform Combined State Law Examination
    2015-03-23
  • S63 Uniform Securities Agent State Law Examination
    1991-08-02
Designations
  • Chartered Financial Analyst
Other Names
  • Randy Sims

View on SEC IAPD

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