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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
NJ RA APPROVED 2023-06-14
NY RA APPROVED 2022-05-19
FL RA APPROVED 2021-08-26
NC RA APPROVED 2021-07-30
CT RA APPROVED 2021-07-08
  • NJ RA
    APPROVED
    Since 2023-06-14
  • NY RA
    APPROVED
    Since 2022-05-19
  • FL RA
    APPROVED
    Since 2021-08-26
  • NC RA
    APPROVED
    Since 2021-07-30
  • CT RA
    APPROVED
    Since 2021-07-08

Branch Locations

Palm Beach Gardens, FL • 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
Oppenheimer & Co. Inc. Palm Beach Gardens FL 09/2009 12/2020
Herbert J. Sims & Co., Inc. Boca Raton FL 12/2020 Present
Herbert J. Sims Capital Management Boca Raton FL 12/2020 Present
  • 09/2009 → 12/2020
    Palm Beach Gardens, FL
  • 12/2020 → Present
    Herbert J. Sims & Co., Inc.
    Boca Raton, FL
  • 12/2020 → Present
    Herbert J. Sims Capital Management
    Boca Raton, FL
Previous Registrations
Other Businesses

Michael Torre 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. Torre began his association with HJSCM on 12/18/2020 and devotes approximately 25% of his time to HJSCM; however, Mr. Torre's primary business is providing brokerage services through the broker-dealer.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-10-15
S63 Uniform Securities Agent State Law Examination 1998-03-20
  • S65 Uniform Investment Adviser Law Examination
    2018-10-15
  • S63 Uniform Securities Agent State Law Examination
    1998-03-20

View on SEC IAPD

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