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RIA / WealthAdvisordual registered (broker-dealer)41 years in industry

THOMAS EARL SIMMS

Advisor at CETERA INVESTMENT ADVISERS LLC

AMARILLO, TX

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Search this name across graphsid dfx:ria:54b80f1f-2e79-c0cb-a4ff-996e1f764072

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 7, 1998 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 27, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jun 27, 1985
First registration: Dec 7, 1998
Dual registered: yes, broker-dealer
Other names: TOM SIMMS
IAPD individual key: 1364952

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Sep 5, 2025	n/a	yes	AMARILLO, TX	Current employment
AVANTAX ADVISORY SERVICES	Former SEC adviser	Jun 27, 2016	Sep 5, 2025	no	Amarillo, TX	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 2, 2009	Jun 29, 2016	no	AMARILLO, TX	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Oct 24, 2002	Jan 2, 2009	no	AMARILLO, TX\|AMARILLO, TX	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Dec 7, 1998	May 6, 2002	no	AMARILLO, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AVANTAX ADVISORY SERVICES	CETERA INVESTMENT ADVISERS LLC	Sep 5, 2025	Sep 5, 2025	0	Bulk transfer	Ibd to ibd
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	AVANTAX ADVISORY SERVICES	Jun 29, 2016	Jun 27, 2016	-2	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jan 2, 2009	Jan 2, 2009	0	Bulk transfer	Other
WELLS FARGO ADVISORS	RAYMOND JAMES FINANCIAL SERVICES, INC.	May 6, 2002	Oct 24, 2002	171	Firm change	Other

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ AVANTAX ADVISORY SERVICESRegistered adviserregistration: previous registration
Jun 27, 2016 to Sep 5, 2025factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jan 2, 2009 to Jun 29, 2016factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Oct 24, 2002 to Jan 2, 2009factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Dec 7, 1998 to May 6, 2002factForm ADV

Dated events

No dated event names this entity yet.