Patti Sims, financial advisor Tulsa OK
93 score

Patti Sims

CRD Number: 1064278
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Patti Sims (CRD# 1064278) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Tulsa, OK and has over 34 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch Tulsa, OK Jan 2012 - Current 4
Minnesota Life Ins Co St Paul, MN Nov 2011 - Current 5
Securian Advisors Midamerica Inc. Tulsa, OK Nov 2011 - Current 5
Securian Financial Services, Inc. St Paul, MN Nov 2011 - Current 5
Securian Financial Tulsa, OK Nov 2011 - Jan 2012 < 1
Arvest Asset Management Broken Arrow, OK Jul 2010 - Nov 2011 1
Arvest Asset Management Tulsa, OK Jul 2010 - Nov 2011 1
Bank Of America, Na Tulsa, OK Jan 2010 - Jul 2010 < 1
Merrill Lynch, Pierce, Fenner &amp; Smith Incorporated Tulsa, OK Aug 2002 - Jul 2010 7
Merrill Lynch, Pierce, Fenner & Smith Incorporated Tulsa, OK Feb 1980 - Jul 2010 30
Bank Of America,na Tulsa, OK Feb 1980 - Jul 2010 30
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1982
S65 NASAA Investment Advisors Law Examination Nov 1996
Contact Info for Patti A. Sims
Phone Number: 800-637-7455
Registered State(s):
  • OK
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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