Form MA/A HERBERT J. SIMS & CO,

  
    MA/A
    
      
        0000090608
        XXXXXXXX
      
      
        Loreto P. Fuentes
        203-418-9046
      
      [email protected]
      
        [email protected]
        [email protected]
      
    
  
  
    HERBERT J. SIMS & CO, INC.
    3420
    13-5213180
    
      
        866-00704-00
      
      
        
          867-01435
        
        
          
            008-3315
            3420
          
        
      
    
    
      
        
          2150 POST ROAD
          SUITE 301
          FAIRFIELD
          CT
          06824
        
      
      203-418-9030
    
    
      
        
          Add
        
        
          
            
              11140 Rockville Pike
              Suite 630
              Rockille
              MD
              20852
            
          
          203-418-9083
          203-418-9083
        
      
    
    N
    www.hjsims.com.
    
      
        Valerie
        Odette
        Hebert
      
      

        
          2150 Post Road
          Suite 301
          Fairfield
          CT
          06824
        
      
      203-418-9020
      203-418-9082
      [email protected]
    
    
      
        Loreto
        Patricia
        Fuentes
      
      

        
          2150 Post Road
          Suit 301
          Fairfield
          CT
          06824
        
      
      203-418-9046
      203-418-9082
      [email protected]
    
    
      
        Herbert J. Sims Capital Management Inc.
        Y
        
          CT Registered Investment Advisor
          CRD # 134510
          
            CT
          
        
      
      
        Sims Mortgage Funding, Inc.
        N
      
      
        HJS, Advisors Inc.
        N
      
    
    
      
        
          
        
      
    
    December
    
      DE
    
    12-15-2012
    N
    115
    8
    8
    0
    0
    20
    
      
        Non-profit organizations
        Corporations or other businesses
      
    
    0
    0
    0
    
      
        Other
      
      Continuous Care Retirement Communities
    
    
      
        Fixed Fees
        Contingent Fees
      
    
    
      
        Not Applicable
      
    
    
      
        Advice Insurance Of MS
        Advice Investment Of Proceeds MS
        Advice ME Investments
        Advice Guaranteed IC
      
    
    
      
        Y
        Y
      
      
        Y
      
      
        Y
      
    
    Y
    
      Broker-dealer municipal securities dealer or government securities broker or dealer
      Investment Adviser
    
    2
    
      
        
          Add
        
        
          Broker-dealer municipal securities dealer or government securities broker or dealer
        
        HJ Sims
        Broker Dealer
        
          Y
          Y
          N
        
      
      
        
          Add
        
        
          Investment Company
          Insurance company or agency
        
        Herbert J Sims Capital Management Inc.
        Investment Advisor
        
          Y
          Y
          N
        
      
    
    
      Y
      Y
      N
      N
      Y
      N
      N
      N
      N
      N
      N
      N
      N
    
    
      
        N
        N
        N
        N
      
      
        N
        N
        N
        N
        N
        N
        N
        N
        N
        N
        N
        Y
        N
        N
        N
        N
      
      
        N
        N
        N
        N
      
    
    N
    Y
    
      
        
          Teksys
          N
          
            
          
          13-2674133
          
            Owner
            08-28-2014
            E
            N
          
        
      
      
        
          
            William
            Barnett
            Sims
          
          
            President
            08-28-2014
            NA
            Y
            425019
          
        
        
          
            Jason
            Howard
            Diamond
          
          
            Chief Financial Officer/Managing Principal
            05-01-2007
            NA
            Y
            2320884
          
        
        
          
            R Jeffrey
            NMN
            Sands
          
          
            Director
            12-15-2012
            NA
            Y
            4285040
          
        
        
          
            Aaron
            Mordecai
            Rulnick
          
          
            Director
            12-15-2012
            NA
            Y
            3149315
          
        
        
          
            Daniel
            Joseph
            Mullane
          
          
            Managing Principal
            08-01-2019
            NA
            Y
            1246435
          
        
        
          
            Valerie
            Odette
            Hebert
          
          
            Chief Compliance Officer
            09-08-2019
            NA
            N
            4007252
          
        
      
    
    
      
        
          
            Teksys
            N
            
              
            
            13-2674133
            
              Owner
              08-28-2014
              E
              N
            
          
        
      
      
        
          
            
              William
              Barnett
              Sims
            
            
              President
              08-28-2014
              NA
              Y
              425019
            
          
        
        
          
            
              Jason
              Howard
              Diamond
            
            
              Chief Financial Officer/Managing Principal
              05-01-2007
              NA
              Y
              2320884
            
          
        
        
          
            
              R Jeffrey
              NMN
              Sands
            
            
              Director
              12-15-2012
              NA
              Y
              4285040
            
          
        
        
          
            
              Aaron
              Mordecai
              Rulnick
            
            
              Director
              12-15-2012
              NA
              Y
              3149315
            
          
        
        
          
            
              Daniel
              Joseph
              Mullane
            
            
              Managing Principal
              08-01-2019
              NA
              Y
              1246435
            
          
        
        
          
            
              Valerie
              Odette
              Hebert
            
            
              Chief Compliance Officer
              09-08-2019
              NA
              N
              4007252
            
          
        
      
    
    
      
        
          
            
              
                
              
              
                
              
            
            
              9-E2
            
          
          
            
              
                
                  HJ Sims & Co. Inc.
                  3420
                  1266609
                
              
            
          
        
        
          
            
              
                
              
              
                
              
            
            
              9-E2
            
          
          
            
              
                
                  Herbert J. Sims & Co., Inc.
                  3420
                  110344
                
              
            
          
        
        
          
            
              
                
              
              
                
              
            
            
              9-E2
            
          
          
            
              
                
                  Herbert J. Sims & Co., Inc.
                  3420
                  231070
                
              
            
          
        
        
          
            
              
                
              
              
                
              
            
            
              9-E2
            
          
          
            
              
                
                  Herbert J. Sims & Co., Inc.
                  3420
                  584986
                
              
            
          
        
      
    
    
      
        Loreto P. Fuentes
        Loreto P. Fuentes
        Compliance Officer
        09-01-2021
      
    
    
      N
      N
      N
      N
      N
      Y
      N
      Y
      N
      N
      N
      N
      Y
      N
      N
      N
      N
      N
      N
      N
      N
    
  

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