Ernest Sims, financial advisor Wayne PA
96 score

Ernest Sims

CRD Number: 1288509
Current Firm: Commonwealth Financial Network

Ernest Sims (CRD# 1288509) is an Investment Advisor Representative working at Commonwealth Financial Network in Wayne, PA and has over 32 years of experience in the finance industry. Ernest Sims has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Commonwealth Financial Network Waltham, MA Oct 2014 - Current 2
Sims Financial LLC Wayne, PA Oct 2002 - Current 14
Univest Investments, Inc. Wayne, PA Jun 1984 - Oct 2014 30
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1984
Contact Info for Ernest L. Sims
Phone Number: 781-736-0700
Registered State(s):
  • PA
By the Numbers
  • Total Assets Under Management
    52,073
    MILLIONS
  • Total Number of Accounts
    229,200
    ACCOUNTS
  • Average Account Value
    $227,194
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 businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

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

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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