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Detailed Report
ELIZABETH LORETTA TEIFER
ELIZABETH LORETTA HADEN MRS.
CRD#: 6009776
IA
Investment Adviser
B
Broker
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.CRD#: 134510 331 Newman Springs Road
Building 2, Suite 312- 3rd Floor
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
20122014201620182020202220242026IAHERBERT J. SIMS CAPITAL MANAGE... (CRD# 134510)2020 - Present (4 years)BHERBERT J. SIMS & CO, INC. (CRD# 3420)2019 - Present (6 years)BDAVID LERNER ASSOCIATES, INC. (CRD# 5397)2012 - 2019 (7 years)
Disclosure(s)
View By:
9/3/2021
Customer Dispute
Settled
3/26/2018
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 11/18/2019
B
New Jersey 2/21/2019
B
California 12/12/2024
IA
New Jersey 6/15/2020
B
Connecticut 4/2/2019
B
New Mexico 12/11/2024
IA
Connecticut 6/12/2020
B
New York 2/4/2019
B
Florida 2/4/2019
B
Pennsylvania 2/4/2019
B
Louisiana 8/18/2021
B
Texas 3/6/2019
B
Maryland 2/4/2019
B
Virginia 5/18/2023
B
Massachusetts 12/11/2024
B
Washington 2/4/2019
B
Michigan 10/13/2023

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 Road Building 2, Suite 312- 3rd Floor, Red Bank, NJ 07701
Registered with this firm since 6/12/2020
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 2/4/2019
Previous Registration(s)
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B
 02/08/2012 - 02/04/2019 DAVID LERNER ASSOCIATES, INC. (CRD#:5397) LAWRENCEVILLE, NJ
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.