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Thomas Simms

Cetera Investment Advisers LLC
41 Years of Experience
Amarillo, TX
3 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Thomas Simms is a registered investment advisor at Cetera Investment Advisers LLC, based in Amarillo, TX, with 41 years of industry experience. Thomas is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

Amarillo, TX

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2003
Denied
Customer Dispute
August 1995
Settled
Customer Dispute
April 1995
Settled
View Full SEC ReportHow to Read Disclosures
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 · 1 yr 1 mo
Cetera Investment Advisers LLC
September 2025 - Present · 1 yr 1 mo
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.
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