| Advisor Profile |
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| Name: |
Charles Sims, Jr., CFP® |
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| Disclaimer |
| Investment Advisor Representative of Investment Advisors, A Registered Investment Advisor and a division of ProEquities, Inc.
Securities offered through ProEquities, Inc., a Registered Broker-Dealer,Member, FINRA & SIPC.
The Sims Financial Group, Inc is independent of ProEquities,Inc. |
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Business Description |
| Wealth creation and preservation is the primary focus of The Sims Financial Group, Inc. Without proper planning and periodic monitoring, wealth can be eroded by inflation, economic downturns, taxes, life's uncertainties and natural calamities. |
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General Information |
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| Name of Broker/Dealer: |
ProEquities, Inc.
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| States Licensed in: |
AR, FL, GA, MS, TN
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| States Willing to do Business in: |
All
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| Years of Experience in Financial Services: |
37
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| Number of Years with Current Firm: |
21
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| I work with the following types of clients: |
Businesses, Individual Investors, Non-Profit Organizations, Professional Athletes, Investment Clubs
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Education |
| Academic Background |
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Bachelor of Arts degree - Memphis State University
Master of Arts - Memphis State University |
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Services |
| Investment Types: |
Mutual Funds, Alternative Investments, Mortgages & Real Estate, Insurance, Bonds, Stocks, Annuities
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
CERTIFIED FINANCIAL PLANNER™ Certificant, Life Underwriter Training Council Fellow (LUTCF)
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| Securities Licenses: |
Series 63, Series 22, Series 6
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| Insurance and Annuity Licenses: |
Variable Annuity, Long Term Care, Variable Life, Disability, Property, Casualty, Annuity, Health, HMO, Life
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| Financial Organization Memberships: |
National Association of Insurance and Financial Advisors (NAIFA), Financial Planning Association (FPA), Million Dollar Roundtable
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| I work with clients as part of a team: |
Yes
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| Firm's Number of Clients: |
1,500
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| Firm's Number of Planning Clients: |
300
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| Firm's Number of Managed Clients: |
50
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| Assets Managed by Firm: |
$40,000,000
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| Advisor's Number of Clients: |
1,500
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| Advisor's Number of Managed Clients: |
50
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| Advisor's Number of Planning Clients: |
500
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| Assets Managed by Advisor: |
$40,000,000
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Compliance |
| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| I am a fee-based financial professional: |
Yes
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| Compensation Methods: |
Flat Fee, Commissions, Based on Assets, Hourly
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| Prepared By: |
Charles Sims, Jr., CFP® |
Frequently Asked Questions |
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