Thomas Sime is a registered investment advisor at Morgan Stanley, based in Rochester, NY, with 43 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
300 Linden Oaks, Suite 200, Rochester, NY, 14625
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Morgan Stanley
March 2017 - Present · 9 yrs 2 mos
Morgan StanleyBroker
March 2017 - Present · 9 yrs 2 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
October 2007 - March 2017 · 9 yrs 5 mos
Wells Fargo Clearing Services, LLCBroker
October 2007 - March 2017 · 9 yrs 5 mos
RBC Dain Rauscher INC.
September 2004 - October 2007 · 3 yrs 1 mo
RBC Dain Rauscher INC.Broker
April 2004 - October 2007 · 3 yrs 6 mos
Advest, INC.Broker
August 1999 - May 2004 · 4 yrs 9 mos
A. G. Edwards & Sons, INC.Broker
October 1996 - September 1999 · 2 yrs 11 mos
Essex Capital Markets, INC.Broker
May 1994 - October 1996 · 2 yrs 5 mos
Pruco Securities CorporationBroker
March 1983 - May 1994 · 11 yrs 2 mos
State Registrations20 states
AZCACOFLGAKYMAMDMENCNHNJNVNYOHPASCTNTXVA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.