Thomas Sims
Investment Adviser Representative at Charles Schwab & Co., Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Thomas Sims is an investment adviser representative in Charlotte, NC, currently registered with Schwab Wealth Advisory, Inc. and Charles Schwab & Co., Inc. They have worked in the securities industry since 2017 and have been registered with 4 firms, including MAI Capital Management, LLC and Vanguard Advisers, Inc. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in North Carolina.
Registrations & licenses
- Investment adviser:
- North Carolina
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.
- Vanguard Advisers, INCApr 2017 – Oct 2023Charlotte, NC
- Schwab Wealth Advisory, Inc.Jun 2026 – no end date reportedCharlotte, NC
- Charles Schwab & Co., Inc.Jun 2026 – no end date reportedCharlotte, NC
- UnemployedAug 2025 – May 2026Charlotte, NC
- The Vanguard Group, Inc.Feb 2016 – Sep 2023Charlotte, NC
- MAI Capital Management, LLCNov 2023 – Jul 2025Charlotte, NC
Official records & sources
Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Charles Schwab & Co., Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Fixed fee
- Other
- Firm account minimum
- $500,000
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
Unknown
Client types the firm serves
Unknown
Firm assets under management
Unknown
- Firm disclosures (Form ADV)
- Unknown
Source: firm Form ADV filing
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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. Thomas Sims 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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