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Kevin Joseph Sims

Richmark Private Wealth Management

Frankenmuth, MI

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Current Employers
Richmark Private Wealth Management

516 South Main Street Suite C, Frankenmuth, MI 48734 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2022-12-08
MI RA APPROVED 2019-04-15
  • IL RA
    APPROVED
    Since 2022-12-08
  • MI RA
    APPROVED
    Since 2019-04-15

Branch Locations

516 South Main Street Suite C, Frankenmuth, MI 48734 • 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
Captrust Financial Advisors Raleigh NC 05/2013 01/2019
Capfinancial Securities, Llc. Raleigh NC 04/2015 01/2019
Richmark Private Wealth Management Frankenmuth MI 04/2019 Present
  • 05/2013 → 01/2019
    Captrust Financial Advisors
    Raleigh, NC
  • 04/2015 → 01/2019
    Capfinancial Securities, Llc.
    Raleigh, NC
  • 04/2019 → Present
    Richmark Private Wealth Management
    Frankenmuth, MI
Previous Registrations
  • 2019-01-04 → 2019-01-17
    Richmark Private Wealth Management
    Frankenmuth, MI
  • 2015-04-09 → 2019-01-03
    Captrust
    Raleigh, NC
  • 2013-05-15 → 2015-04-09
    Capfinancial Securities, Llc.
    Clarkston, MI
    Raleigh, NC
  • 2010-09-02 → 2013-04-18
    Valic Financial Advisors, Inc.
    Novi, MI
  • 2009-09-25 → 2010-08-17
    Chase Investment Services Corp.
    Saginaw, MI
    Hemlock, MI
    Bridgeport, MI
Other Businesses

INSURANCE LICENSED; INVESTMENT-RELATED; FRANKENMUTH, MI; INSURANCE SALES; START: 12/1993; 48 HRS/MO DURING TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-05-17
S63 Uniform Securities Agent State Law Examination 1993-11-16
  • S65 Uniform Investment Adviser Law Examination
    2007-05-17
  • S63 Uniform Securities Agent State Law Examination
    1993-11-16
Other Names
  • Kevin Joe Sims
  • Kevin Joe Sims

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · FRANKENMUTH, MI
EQUITABLE ADVISORS, LLC · FRANKENMUTH, MI
MORGAN STANLEY · Frankenmuth, MI
THRIVENT INVESTMENT MANAGEMENT INC. · FRANKENMUTH, MI
EDWARD JONES · FRANKENMUTH, MI
EDWARD JONES · FRANKENMUTH, MI
EDWARD JONES · FRANKENMUTH, MI
THE HUNTINGTON INVESTMENT COMPANY · FRANKENMUTH, MI

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