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2150 Post Road Suite 301, Fairfield, CT 06824 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-08-28 |
| NJ | RA | APPROVED | 2022-11-03 |
| NY | RA | APPROVED | 2022-11-03 |
| CT | RA | APPROVED | 2022-11-02 |
Branch Locations
2150 Post Road Suite 301, Fairfield, CT 06824 • United States
331 Newman Springs Rd Building 2, Suite 312, Red Bank, NJ 07701 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Wayne | NJ | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Wayne | NJ | 11/2016 | 10/2022 |
| Herbert J Sims & Co., Inc. | Red Bank | NJ | 10/2022 | Present |
| Herbert J Sims Capital Management | Red Bank | NJ | 10/2022 | Present |
Sean Lalljee is an investment adviser representative of HJ Sims Capital Management ("HJSCM"), a SEC registered investment advisor and wholly owned subsidiary of HJ Sims Co., Inc. HJSCM primarily provides customized investment management services to high-net-worth individuals and associated trusts, estates, pension and profit-sharing plans, and other legal entities. Mr. Lalljee began his association with HJSCM in October 2022 and devotes approximately 20% of his time to HJSCM; however, Mr. Lalljee's primary business is providing brokerage services through the broker-dealer.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-02-21 |
| S63 | Uniform Securities Agent State Law Examination | 1998-10-15 |
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