Richard Sims is a CFP-designated registered investment advisor, based in Chicago, IL, with 14 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Chicago, IL
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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
Hartford Funds Distributors, LLC
June 2025 - Present · 1 yr 4 mos
Hartford Funds
June 2025 - Present · 1 yr 4 mos
Hartford Funds Distributors, LLCBroker
June 2025 - Present · 1 yr 4 mos
Previous Registrations
Pimco Investments LLCBroker
July 2022 - November 2024 · 2 yrs 4 mos
Guggenheim Funds Distributors, LLCBroker
June 2017 - June 2022 · 5 yrs
J.P. Morgan Institutional Investments INC.Broker
April 2015 - June 2017 · 2 yrs 2 mos
J.P. Morgan Securities LLCBroker
June 2012 - April 2015 · 2 yrs 10 mos
Chase Investment Services CORP.
December 2011 - May 2012 · 5 mos
Chase Investment Services CORP.Broker
April 2011 - May 2012 · 1 yr 1 mo
State Registrations4 states
IAILMNWI
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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