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Detailed Report
DANIEL JOSEPH MULLANE
DAN MULLANE
CRD#: 1246435
IA
Investment Adviser
B
Broker
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.CRD#: 134510 2150 POST ROAD
SUITE 301
FAIRFIELD, CT 06824
HERBERT J. SIMS & CO, INC.CRD#: 3420 270 South Central Blvd
Suite 205
Jupiter, FL 33458
Registration History
1985199019952000200520102015202020252 FIRMS2006 - 2006 (<1 year)IAHERBERT J. SIMS CAPITAL MANAGE... (CRD# 134510)2015 - Present (10 years)BHERBERT J. SIMS & CO, INC. (CRD# 3420)2009 - Present (15 years)BSOUND SECURITIES, LLC (CRD# 122677)2008 - 2009 (1 year)BADVEST, INC. (CRD# 10)1991 - 2006 (14 years)BNATIONAL CAPITAL INVESTMENT PA... (CRD# 22115)1990 - 1991 (1 year)BSHEARSON LEHMAN HUTTON INC. (CRD# 7506)1984 - 1990 (6 years)IAADVEST, INC. (CRD# 10)1999 - 2006 (7 years)
License(s)

State Registrations

B
Connecticut 11/6/2009
B
Minnesota 11/19/2020
IA
Connecticut 1/16/2015
B
New Jersey 11/6/2009
B
Florida 11/6/2009
B
Puerto Rico 11/18/2020
IA
Minnesota 12/24/2015

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
HERBERT J. SIMS CAPITAL MANAGEMENT, INC. (CRD#:134510)
2150 POST ROAD SUITE 301, FAIRFIELD, CT 06824
Registered with this firm since 1/16/2015
B
HERBERT J. SIMS & CO, INC. (CRD#:3420)
270 South Central Blvd Suite 205, Jupiter, FL 33458
2150 POST ROAD SUITE 301, FAIRFIELD, CT 06824
Registered with this firm since 11/6/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 09/01/2008 - 11/09/2009 SOUND SECURITIES, LLC (CRD#:122677) JERICHO, NY
IA
 06/16/2006 - 08/29/2006 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) HARTFORD, CT
B
 06/16/2006 - 08/29/2006 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
IA
 03/09/1999 - 03/08/2006 ADVEST, INC. (CRD#:10) HARTFORD, CT
B
 09/05/1991 - 03/08/2006 ADVEST, INC. (CRD#:10) HARTFORD, CT
B
 07/10/1990 - 09/30/1991 NATIONAL CAPITAL INVESTMENT PARTNERS, INC. (CRD#:22115)
B
 03/22/1984 - 03/17/1990 SHEARSON LEHMAN HUTTON INC. (CRD#:7506) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.