Charles Earl Simms IV
Investment Adviser Representative at MAI Capital Management, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Charles Earl Simms is an investment adviser representative with MAI Capital Management, LLC in Sacramento, CA, where they have been registered since 2024. They have worked in the securities industry since 2020 and were previously registered with The Wealth Consulting Group. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 63 (state securities agent), and Series 6 (investment company and variable products). They are registered to provide investment advice in California.
Registrations & licenses
- Investment adviser:
- California
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Letap Group Subway DAMay 2016 – Apr 2018Roseville, CA
- Northwestern Mutual Life Insurance CompanyMay 2018 – Apr 2019Milwaukee, WI
- Northwestern Mutual Investment Services LLCMay 2018 – Apr 2019Sacramento, CA
- Northwestern Mutual Wealth Management CompanyOct 2018 – Apr 2019Milwaukee, WI
- Treloar & Heisel, LLCJun 2019 – no end date reportedNew Castle, PA
- WCG Wealth Advisors, LLCMar 2021 – Jun 2024New Castle, PA
- UnemployedMay 2019 – Jun 2019Sacramento, CA
- Legends HospitalityJun 2015 – May 2019Sacramento, CA
- MAI Capital Management, LLCJun 2024 – no end date reportedCleveland, OH
Official records & sources
Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About MAI Capital Management, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Performance-based fees
- Other
- Firm account minimum
- $500,000 (waivable)
- Estimated blended rate
- 0.01
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 298
- Offices listed on AdvisorFinder:
- 27
- Main office:
- Cleveland, OH
- SEC file number:
- 801-58104
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of October 1, 2026
View full firm profileOther advisors at MAI Capital Management, LLC
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Charles Earl Simms IV has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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