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Detailed Report
THOMAS PATRICK BYRNE
THOMAS BYRNE, Thomas P Byrne
CRD#: 1314062
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 2150 POST ROAD
SUITE 301
FAIRFIELD, CT 06824
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2006 - 2007 (1 year)2 FIRMS2008 - 2011 (3 years)2 FIRMS2012 - 2021 (9 years)2 FIRMS2021 - Present (3 years)BADVEST, INC. (CRD# 10)2003 - 2006 (2 years)IAADVEST, INC. (CRD# 10)2005 - 2006 (<1 year)
License(s)

State Registrations

B
Connecticut 9/16/2021
IA
Connecticut 9/16/2021

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 9/16/2021
B
HERBERT J. SIMS & CO, INC. (CRD#:3420)
2150 POST ROAD SUITE 301, FAIRFIELD, CT 06824
Registered with this firm since 9/16/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/08/2012 - 08/26/2021 VOYA INVESTMENT MANAGEMENT CO. LLC (CRD#:106494) Windsor, CT
B
 03/05/2012 - 08/26/2021 VOYA INVESTMENTS DISTRIBUTOR, LLC (CRD#:37886) WINDSOR, CT
IA
 05/01/2008 - 05/20/2011 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
B
 04/30/2008 - 05/20/2011 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
IA
 03/08/2006 - 08/24/2007 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) HARTFORD, CT
B
 03/08/2006 - 08/24/2007 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
IA
 07/14/2005 - 03/08/2006 ADVEST, INC. (CRD#:10) HARTFORD, CT
B
 08/28/2003 - 03/08/2006 ADVEST, INC. (CRD#:10) HARTFORD, CT
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.