Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
SEAN MCGORDAN LALLJEE
SEAN LALLJEE
CRD#: 3112655
IA
Investment Adviser
B
Broker
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.CRD#: 134510 331 Newman Springs Rd
Building 2, Suite 312
Red Bank, NJ 07701
HERBERT J. SIMS & CO, INC.CRD#: 3420 331 Newman Springs Road
Building 3, Suite 312- 3rd Floor
Red Bank, NJ 07701
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2022 - Present (2 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2004 - 2022 (17 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)1998 - 2004 (6 years)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2005 - 2022 (17 years)
License(s)

State Registrations

B
Colorado 11/2/2022
B
Kansas 11/2/2022
B
Connecticut 11/2/2022
B
Maryland 11/3/2022
IA
Connecticut 11/2/2022
B
New Jersey 11/2/2022
B
Delaware 11/2/2022
IA
New Jersey 11/3/2022
B
Florida 11/2/2022
B
New York 11/2/2022
IA
Florida 8/28/2023
IA
New York 11/3/2022
B
Georgia 12/18/2024
B
North Carolina 7/25/2023
B
Idaho 11/2/2022
B
Pennsylvania 11/2/2022
B
Indiana 11/2/2022
B
Virginia 11/2/2022

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)
331 Newman Springs Rd Building 2, Suite 312, Red Bank, NJ 07701
Registered with this firm since 11/2/2022
B
HERBERT J. SIMS & CO, INC. (CRD#:3420)
331 Newman Springs Road Building 3, Suite 312- 3rd Floor, Red Bank, NJ 07701
Registered with this firm since 11/2/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/22/2005 - 11/04/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) WESTFIELD, NJ
B
 12/07/2004 - 11/04/2022 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) WESTFIELD, NJ
B
 09/16/1998 - 12/08/2004 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) CHICAGO, IL
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.