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1720 Windward Concourse Suite 115, Alpharetta, GA 30005 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PR | RA | APPROVED | 2023-01-20 |
Branch Locations
Gam Tower 2 Tabonuco Street, Suite 200, Guaynabo, PR 00968 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Santander Securities | Guaynabo | PR | 10/2006 | 02/2018 |
| Herbert J. Sims & Co. Inc. | Guaynabo | PR | 02/2018 | 12/2022 |
| Herbert J Sims Capital Management | Guaynabo | PR | 02/2018 | 12/2022 |
| First Southern, Llc | Guaynabo | PR | 12/2022 | Present |
Personal rental property at Brenas Estate Lot #13, Toa Baja, PR; start date of 4/20/2017, 0 hours per month; 0 hours during trading hours. Personal rental property at Condominio Victoria Plaza, Calle Candina, Condado, PR; start date of 4/20/2017, 0 hours per month; 0 hours during trading hours. Name of business: Consumer Debt Management (CDM) Compensated: Yes (Chairmanship Fees/Dividends) Investment related: No Address of business: 250 Munoz Rivera 7th FL PR 00918 Title: Chairman; Start Date: 5 Years ago Number of Hours devoted: 4 hrs Hours devoted during trading hours per month. Description: Attending board meetings (off hours). CDM is a dully registered collection agency registered with all pertaining local and federal agencies. -------------------------------------------------------------------------- Name of Business: Fundacion Carlos Romero Barcelo Compensation: No Investment related: No Address: P.O. Box 364351 San Juan PR 00936 Nature of Business:Promoting and educating PR on statehood benefits Title: Treasurer Start Date: 8 Years ago Hours Devoted to Business: 4 Hours Hours devoted during securities trading hours: None Description: Financial aspects, E.G Payrolls/ foundation is inactive.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-08-03 |
| S63 | Uniform Securities Agent State Law Examination | 1985-05-31 |
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