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2150 Post Road Suite 301, Fairfield, CT 06824 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2023-06-15 |
| NJ | RA | APPROVED | 2020-09-15 |
| CT | RA | APPROVED | 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
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
(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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2020-06-10 |
| S63 | Uniform Securities Agent State Law Examination | 2004-09-17 |
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