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Employer firm

Herbert J. Sims Capital Management, Inc. CRD 134510

$437M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Herbert J. Sims Capital Management, Inc.

2150 Post Road Suite 301, Fairfield, CT 06824 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2019-12-04
  • CT RA
    APPROVED
    Since 2019-12-04

Branch Locations

331 Newman Springs Road Building 2, Suite 312- 3Rd Floor, Red Bank, NJ 07701 • United States

2150 Post Road Suite 301, Fairfield, CT 06824 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Herbert J Sims Iselin NJ 12/2018 Present
David Lerner Associates, Inc. Princeton NJ 01/2004 12/2018
  • 12/2018 → Present
    Herbert J Sims
    Iselin, NJ
  • 01/2004 → 12/2018
    David Lerner Associates, Inc.
    Princeton, NJ
Other Businesses

Expedia Cruises, non- investment related, 285 Rt 18 Suite B, East Brunswick, NJ 08816, Travel Agent, Vacation Consultant, start date 5/2026, devote 4 hrs/weekend, devote zero hrs during securities trading hrs, duties booking cruises.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-12-04
S63 Uniform Securities Agent State Law Examination 2004-05-08
  • S66 Uniform Combined State Law Examination
    2019-12-04
  • S63 Uniform Securities Agent State Law Examination
    2004-05-08

View on SEC IAPD

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