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Current Employers
Herbert J. Sims Capital Management, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2023-06-15
NJ RA APPROVED 2020-09-15
CT RA APPROVED 2020-07-14
  • NC RA
    APPROVED
    Since 2023-06-15
  • NJ RA
    APPROVED
    Since 2020-09-15
  • CT RA
    APPROVED
    Since 2020-07-14

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

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
David Lerner Associates Princeton NJ 07/2004 02/2019
Herbert J. Sims & Co, Inc Red Bank NJ 02/2019 Present
Herbert J. Sims Capital Management Red Bank NJ 06/2020 Present
  • 07/2004 → 02/2019
    David Lerner Associates
    Princeton, NJ
  • 02/2019 → Present
    Herbert J. Sims & Co, Inc
    Red Bank, NJ
  • 06/2020 → Present
    Herbert J. Sims Capital Management
    Red Bank, NJ
Other Businesses

(1) Joseph Teifer 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. Teifer began his association with HJSCM in June 2020 and devotes approximately 25% of his time to HJSCM and approximately 15% to insurance-related business; however, Mr. Teifer's primary business is providing brokerage services through the broker-dealer. (2) Home Depot, not investment related, 1990 Rt 9, Howell, NJ 07731, Appliance and Hardware Sales, Sales Associate, start date 7/13/2026, devotes approximately 16 hours/week, zero/hours during security trading hours, duties: initially appliance sales, but there will be time spent in other departments in the store.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-06-10
S63 Uniform Securities Agent State Law Examination 2004-09-17
  • S66 Uniform Combined State Law Examination
    2020-06-10
  • S63 Uniform Securities Agent State Law Examination
    2004-09-17

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