Richard L Sims

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Current Employers

Hartford Funds

690 Lee Road, Wayne, PA 19087 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2025-06-13

IL RA
APPROVED

Since 2025-06-13

Branch Locations

690 Lee Road, Wayne, PA 19087 • United States

Chicago, IL • 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

Organization	City	State	From	To
Jp Morgan Chase	Chicago	IL	10/2009	05/2017
Guggenheim Funds Distributors Llc	Chicago	IL	06/2017	06/2022
Pacific Investment Management Company Llc	Oak Lawn	IL	07/2022	12/2024
Pimco Investments Llc	Oak Lawn	IL	07/2022	12/2024
Hartford Funds Distributors, Llc	Wayne	PA	06/2025	Present
Hartford Funds Management Company, Llc	Wayne	PA	06/2025	Present
Unemployed	Chicago	IL	12/2024	06/2025

10/2009 → 05/2017

Jp Morgan Chase

Chicago, IL
06/2017 → 06/2022

Guggenheim Funds Distributors Llc

Chicago, IL
07/2022 → 12/2024

Pacific Investment Management Company Llc

Oak Lawn, IL
07/2022 → 12/2024

Pimco Investments Llc

Oak Lawn, IL
06/2025 → Present

Hartford Funds Distributors, Llc

Wayne, PA
06/2025 → Present

Hartford Funds Management Company, Llc

Wayne, PA
12/2024 → 06/2025

Unemployed

Chicago, IL

Previous Registrations

2011-12-21 → 2012-05-15

Chase Investment Services Corp.

Chicago, IL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-12-16

S66 Uniform Combined State Law Examination

2011-12-16

Designations

Other Names

Richard Lemuel Sims

View on SEC IAPD

Other Firms

ADDIS & HILL, INCORPORATED

CHARLES SCHWAB & CO., INC.

PNC WEALTH MANAGEMENT LLC

HORNOR, TOWNSEND & KENT, LLC

TODOROW CAPITAL PARTNERS LLC

HARVEST FUND ADVISORS LLC

ACT CAPITAL MANAGEMENT, LLC

FOCUS PARTNERS WEALTH, LLC

Other Investors

Kelly F Bashore

KENT RUSSELL ADDIS

Flynn Michael Ryan

PETER MASTROMARCO

KENNETH WAYNE LISKEY

Colleen Maura Lotto

Other Offices

ADDIS & HILL, INCORPORATED · WAYNE, PA

CHARLES SCHWAB & CO., INC. · Wayne, PA

PNC WEALTH MANAGEMENT LLC · Wayne, PA

HORNOR, TOWNSEND & KENT, LLC · WAYNE, PA

TODOROW CAPITAL PARTNERS LLC · WAYNE, PA

HARVEST FUND ADVISORS LLC · WAYNE, PA

ACT CAPITAL MANAGEMENT, LLC · WAYNE, PA

FOCUS PARTNERS WEALTH, LLC · Wayne, PA

More in Wayne, PA

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