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2150 Post Road Suite 301, Fairfield, CT 06824 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2015-01-16 |
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 |
|---|---|---|---|---|
| Caprock Risk Management, Llc | Hampton Falls | NH | 04/2008 | 11/2019 |
| Braintree Capital Partners, Llc | Braintree | MA | 05/2008 | 11/2019 |
| Herbert J. Sims & Co, Inc | Boca Raton | FL | 11/2009 | Present |
1) Killingworth Investors LLC Compensated- No Investment Related: Yes Address:180 Green Hill RD Killingworth CT 06419 Nature of Business: LLC - Equity Investment in RI Relationship: Member of LLC Start Date:9/2018 Hrs Devoted: 1-4 Hrs/month Hrs devoted on securities trading hours: 0 Description of duties: read, assess and opine. Listed since llc formed to make investments in growth industries Northeast RI cannabis medical. None are investment operating business.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-05-20 |
| S63 | Uniform Securities Agent State Law Examination | 1984-03-23 |
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