Michael Simms has been an investment adviser representative at Capital Markets IQ since July 2016, and is not listed among the firm’s executive officers or direct owners.
Capital Markets Iq, LLC is a firm with $571M under management, 884 clients and 20 advisers across 19 offices, as of its July 2026 filing.
- Capital Markets Iq, LLCCurrent– present · 10 yearsPalm Beach Gardens, FL · Adviser representative · Firm CRD 134921
Investment adviser representative registrations
Michael Simms is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from July 2016; the most recent is California, in December 2024.
- CaliforniaSince 3 December 2024
- FloridaSince 28 July 2016
- TexasResidentSince 31 July 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 1 July 2016 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 26 February 2010 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Michael H. Simms
- CRD
- 5753849
- Firm
- Capital Markets IQ · CRD 134921
- Office
- 4440 PGA Blvd., Suite 600, Palm Beach Gardens, FL 33410
- Registration
- Investment adviser registration
- In the industry since
- July 2016
- Disciplinary history
- Not yet shown here · SEC record
Where does Michael Simms work?
Michael Simms is an investment adviser representative registered through Capital Markets Iq, LLC since July 2016, and is not listed among the firm’s executive officers or direct owners.
Is Michael Simms a financial advisor?
Yes. Michael Simms has a current investment-adviser registration in California, Florida and Texas, through Capital Markets IQ since July 2016.
How many years of experience does Michael Simms have?
Michael Simms has 10 years in the financial industry, since July 2016, across 1 adviser firm.
What exams has Michael Simms passed?
Michael Simms has passed 2 licensing exams: the Series 6 and Series 65. The earliest, the Series 6, was passed in February 2010. FINRA credited Michael Simms with the SIE, which began in October 2018.
Where is Michael Simms based?
Michael Simms’ registered office is in Palm Beach Gardens, FL.
Is Michael Simms registered with FINRA?
No. Michael Simms has no current broker registration.
How can I verify Michael Simms’ record?
Search CRD 5753849 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Michael Simms’ full registration record.