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2150 Post Road Suite 301, Fairfield, CT 06824 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2021-09-21 |
| FL | RA | APPROVED | 2021-08-26 |
| CT | RA | APPROVED | 2021-07-08 |
Branch Locations
2150 Post Road Suite 301, Fairfield, CT 06824 • United States
3801 Pga Boulevard, Suite 600, Palm Beach Gardens, FL 33410 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services Inc | Palm Beach Gardens | FL | 04/2014 | 12/2016 |
| Oppenheimer & Co | Palm Beach | FL | 12/2016 | 12/2020 |
| Herbert J. Sims & Co,, Inc. | Palm Beach Gardens | FL | 12/2020 | Present |
| Herbert J. Sims Capital Management | Palm Beach Gardens | FL | 12/2020 | Present |
Frank Curcio 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. Curcio began his association with HJSCM on 12/18/2020 and devotes approximately 25% of his time to HJSCM; however, Mr. Curcio's primary business is providing brokerage services through the broker-dealer.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-08-02 |
| S63 | Uniform Securities Agent State Law Examination | 1990-01-24 |
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