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Detailed Report
PETER JULIAN DEE JR
PETER JULIAN DEE JR., PETER JULIAN DEE
CRD#: 4982628
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
200620082010201220142016201820202022202420262 FIRMS2007 - 2007 (<1 year)IAHERBERT J. SIMS CAPITAL MANAGE... (CRD# 134510)2008 - Present (17 years)BHERBERT J. SIMS & CO, INC. (CRD# 3420)2007 - Present (17 years)IAAMERICAN MONEY MANAGEMENT, LLC (CRD# 115357)2005 - 2006 (1 year)
License(s)

State Registrations

B
Arizona 11/12/2020
B
New Hampshire 3/3/2009
B
California 10/21/2013
B
New Jersey 6/26/2008
B
Connecticut 11/30/2007
B
New York 6/26/2008
IA
Connecticut 1/9/2008
B
North Carolina 3/3/2009
B
Florida 6/26/2008
B
Ohio 5/3/2017
B
Georgia 12/5/2013
B
Pennsylvania 6/26/2008
B
Maryland 9/9/2009
B
Rhode Island 6/18/2012
B
Massachusetts 8/13/2009
B
Tennessee 9/11/2017
B
Michigan 11/12/2020
B
Texas 8/2/2012
B
Minnesota 2/1/2019
B
Utah 10/21/2013
B
Missouri 11/12/2020
B
Vermont 11/12/2020
B
Montana 11/12/2020
B
Virginia 5/3/2017
B
Nebraska 5/21/2018
B
Wisconsin 11/29/2022

SRO Registrations

B
 FINRA

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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 1/9/2008
B
HERBERT J. SIMS & CO, INC. (CRD#:3420)
2150 POST ROAD SUITE 301, FAIRFIELD, CT 06824
2150 POST ROAD SUITE 301, FAIRFIELD, CT 06824
Registered with this firm since 11/30/2007
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/24/2007 - 12/04/2007 ALLIANCEBERNSTEIN L.P. (CRD#:108477) NEW YORK, NY
B
 07/11/2007 - 12/04/2007 SANFORD C. BERNSTEIN & CO., LLC (CRD#:104474) NEW YORK, NY
IA
 06/15/2005 - 10/25/2006 AMERICAN MONEY MANAGEMENT, LLC (CRD#:115357) RANCHO SANTA FE, CA
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.