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2150 Post Road Suite 301, Fairfield, CT 06824 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2008-01-09 |
Branch Locations
2150 Post Road Suite 301, Fairfield, CT 06824 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Herbert J Sims & Co, Inc | Southport | CT | 11/2007 | Present |
Peter Dee Jr. 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. Dee began his association with HJSCM in Nov. 2007 and devotes approximately 25% of his time to HJSCM and 5% on insurance business; however, Mr. Dee's primary business is providing brokerage services through the broker-dealer.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2007-09-14 |
| S65 | Uniform Investment Adviser Law Examination | 2005-03-29 |
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