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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
FL RA APPROVED 2025-01-07
MD RA APPROVED 2025-01-07
NJ RA APPROVED 2025-01-07
NY RA APPROVED 2022-05-19
NC RA APPROVED 2021-07-20
  • FL RA
    APPROVED
    Since 2025-01-07
  • MD RA
    APPROVED
    Since 2025-01-07
  • NJ RA
    APPROVED
    Since 2025-01-07
  • NY RA
    APPROVED
    Since 2022-05-19
  • NC RA
    APPROVED
    Since 2021-07-20

Branch Locations

Stuart, 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Oppenheimer & Co. Inc. Boca Raton FL 07/2014 Present
Herbert J. Sims Boca Raton FL 01/2020 Present
Herbert J. Sims Capital Management Boca Raton FL 01/2020 Present
  • 07/2014 → Present
    Boca Raton, FL
  • 01/2020 → Present
    Herbert J. Sims
    Boca Raton, FL
  • 01/2020 → Present
    Herbert J. Sims Capital Management
    Boca Raton, FL
Previous Registrations
Other Businesses

Timothy Garrettson 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. Timothy Garrettson began his association with HJSCM in January 2020 and devotes approximately 50% of his time to HJSCM and approximately 10% of his time is spent on insurance products. 2) Timothy Garrettson is a non-compensated Officer of his wife's Dog Kennel/Dog Boarding business which is not investment-related. Name: DDC Acquisition Corp. Address: 865 SW Enterprise Way, Stuart FL. Timothy Garrettson is an officer of the company with direct involvement occurring outside of securities trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-09-07
S63 Uniform Securities Agent State Law Examination 1982-10-20
  • S65 Uniform Investment Adviser Law Examination
    1999-09-07
  • S63 Uniform Securities Agent State Law Examination
    1982-10-20

View on SEC IAPD

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