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SCOTT K SIMS
KENNARD SIMS, SCOTT KENNARD SIMS, SCOTT SIMS
CRD#: 4901110
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 12830 EL CAMINO REAL
SAN DIEGO, CA 92130
Registration History
200620082010201220142016201820202022202420262 FIRMS2005 - 2009 (4 years)2 FIRMS2010 - Present (14 years)
Disclosure(s)
View By:
2/17/2009
Customer Dispute
Denied
7/7/2008
Customer Dispute
Denied
License(s)

State Registrations

B
Alaska 5/15/2018

B
Michigan 3/23/2016

B
Arizona 3/23/2016

B
Missouri 1/25/2012

B
Arkansas 5/7/2018

B
Montana 1/4/2021

IA
California 7/20/2010

B
Nevada 3/23/2016

B
California 7/28/2010

B
New York 10/16/2014

B
Colorado 9/9/2015

B
North Carolina 7/29/2010

B
District of Columbia 1/18/2022

B
Oregon 7/27/2010

B
Florida 5/28/2015

B
Rhode Island 4/12/2021

B
Georgia 3/23/2016

B
Tennessee 3/20/2017

B
Idaho 3/16/2012

B
Texas 10/30/2014

B
Kansas 9/11/2010

IA
Texas 10/30/2014

B
Kentucky 9/13/2022

B
Utah 8/19/2024

B
Maryland 11/14/2023

B
Virginia 9/10/2010

B
Massachusetts 5/24/2012

B
Washington 7/27/2010

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
12830 EL CAMINO REAL, SAN DIEGO, CA 92130
Registered with this firm since 7/20/2010

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
12830 EL CAMINO REAL, SAN DIEGO, CA 92130
Registered with this firm since 7/26/2010

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/17/2005 - 02/27/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) CARLSBAD, CA
B
02/24/2005 - 02/27/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) CARLSBAD, CA
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.