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Thomas Simms is a registered investment advisor, based in Amarillo, TX, with 40 years of industry experience.
Location
Amarillo, TX
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Regulatory History (3)
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Customer Dispute
February 2003Denied
Customer Dispute
August 1995Settled
Customer Dispute
April 1995Settled
Other Business ActivitiesSells Insurance
Thomas is an agent for Avantax Insurance Agency and/or Avantax Insurance Services since 2018, selling equity indexed annuities and potentially other insurance products. This activity requires minimal time.
Employment History
Current Registrations
Cetera Wealth Services, LLCBroker
September 2025 - Present · 8 mos
Cetera Investment Advisers LLC
September 2025 - Present · 8 mos
Previous Registrations
Avantax Advisory Services
June 2016 - September 2025 · 9 yrs 3 mos
Avantax Investment Services, INC.Broker
June 2016 - September 2025 · 9 yrs 3 mos
Raymond James Financial Services Advisors, INC
January 2009 - June 2016 · 7 yrs 5 mos
Raymond James Financial Services
October 2002 - January 2009 · 6 yrs 3 mos
Raymond James Financial Services, INC.Broker
May 2002 - June 2016 · 14 yrs 1 mo
First Union Securities, INC.
December 1998 - May 2002 · 3 yrs 5 mos
First Union Securities, INC.Broker
December 1998 - May 2002 · 3 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 1985 - November 1998 · 13 yrs 5 mos
State Registrations8 states
AZCOIDNMOKTXVAWA
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.