Individual Firm
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FRANK OSCAR CURCIO
CRD#: 1333481
IA
B
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.CRD#: 134510 270 South Central Blvd
Suite 205
Jupiter, FL 33458
Suite 205
Jupiter, FL 33458
HERBERT J. SIMS & CO, INC.CRD#: 3420 270 South Central Blvd
Suite 205
Jupiter, FL 33458
Suite 205
Jupiter, FL 33458
0
Disclosures
13
Years of Experience
View By:
State Registrations
B
Connecticut 12/18/2020
B
New Jersey 12/18/2020
IA
Connecticut 7/8/2021
B
New York 12/18/2020
B
Florida 12/18/2020
B
North Carolina 9/15/2021
IA
Florida 8/26/2021
IA
North Carolina 9/21/2021
B
Massachusetts 12/18/2020
B
Pennsylvania 12/18/2020
SRO Registrations
B
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IA
Registered with this firm since 7/8/2021
B
Registered with this firm since 12/18/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/11/2017 - 12/24/2020 | PALM BEACH GARDENS, FL | |
B | 01/10/2017 - 12/24/2020 | PALM BEACH GARDENS, FL | |
IA | 08/04/2014 - 12/13/2016 | PALM BEACH GARDENS, FL | |
B | 06/03/2014 - 12/13/2016 | PALM BEACH GARDENS, FL | |
B | 07/26/1994 - 09/13/1994 | ||
B | 06/08/1992 - 04/11/1994 | ||
B | 01/11/1990 - 05/31/1990 | ||
B | 11/22/1989 - 01/20/1990 |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.