DM
Daniel J. Mullane
HERBERT J. SIMS CAPITAL MANAGEMENT
Fairfield, CT 06824
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CRD#: 1246435
DM
Professional summary
Daniel Joseph Mullane, who also goes by Dan Mullane, is a registered financial advisor currently at HERBERT J. SIMS CAPITAL MANAGEMENT, INC. located in Fairfield, Connecticut and HERBERT J. SIMS & CO, INC. located in Fairfield, Connecticut.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Daniel has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan Mullane
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Killingworth Investors LLC Compensated- No Investment Related: Yes Address:180 Green Hill RD Killingworth CT 06419 Nature of Business: LLC - Equity Investment in RI Relationship: Member of LLC Start Date:9/2018 Hrs Devoted: 1-4 Hrs/month Hrs devoted on securities trading hours: 0 Description of duties: read, assess and opine. Listed since llc formed to make investments in growth industries Northeast RI cannabis medical. None are investment operating business.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Joseph Mullane's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 16, 2015 - Present
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
Office #1: 2150 Post Road Suite 301, Fairfield, CT 06824RIA
CRD#: 134510
Fairfield, CT
Current
November 6, 2009 - Present
HERBERT J. SIMS & CO, INC.
Office #1: 2150 Post Road Suite 301, Fairfield, CT 06824BD
CRD#: 3420
Fairfield, CT
Past
September 1, 2008 - November 9, 2009
SOUND SECURITIES, LLC
BD
CRD#: 122677
JERICHO, NY
Past
June 16, 2006 - August 29, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HARTFORD, CT
Past
June 16, 2006 - August 29, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
March 9, 1999 - March 8, 2006
ADVEST, INC.
RIA
CRD#: 10
HARTFORD, CT
Past
September 5, 1991 - March 8, 2006
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
July 10, 1990 - September 30, 1991
FULTON FERRACUTE CAPITAL CORP, INC.
BD
CRD#: 22115
Past
March 22, 1984 - March 17, 1990
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HJ
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
HERBERT J. SIM CAPITAL MANAGEMENT INC. | HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
CRD#: 134510 / SEC#: 801-124853
RIA
Registered Investment Advisory firm - (5/2/2022 Approved)Connecticut
Registered Investment Advisory firm - (6/1/2022 Terminated)Florida
Registered Investment Advisory firm - (5/17/2022 Terminated)Louisiana
Registered Investment Advisory firm - (3/12/2025 Terminated)Maryland
Registered Investment Advisory firm - (5/23/2022 Terminated)Minnesota
Registered Investment Advisory firm - (6/3/2022 Terminated)New Jersey
Registered Investment Advisory firm - (5/19/2022 Terminated)North Carolina
Registered Investment Advisory firm - (5/20/2022 Terminated)Puerto Rico
Registered Investment Advisory firm - (5/17/2022 Terminated)Texas
Registered Investment Advisory firm - (5/17/2022 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(11/6/2009)
IAR
Connecticut(1/16/2015)
RR
Florida(11/6/2009)
RR
Minnesota(11/19/2020)
RR
New Jersey(11/6/2009)
RR
Puerto Rico(11/18/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 3/30/1989
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
HJ
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
HERBERT J. SIM CAPITAL MANAGEMENT INC. | HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
CRD#: 134510 / SEC#: 801-124853
RIA
Registered Investment Advisory firm - (5/2/2022 Approved)Connecticut
Registered Investment Advisory firm - (6/1/2022 Terminated)Florida
Registered Investment Advisory firm - (5/17/2022 Terminated)Louisiana
Registered Investment Advisory firm - (3/12/2025 Terminated)Maryland
Registered Investment Advisory firm - (5/23/2022 Terminated)Minnesota
Registered Investment Advisory firm - (6/3/2022 Terminated)New Jersey
Registered Investment Advisory firm - (5/19/2022 Terminated)North Carolina
Registered Investment Advisory firm - (5/20/2022 Terminated)Puerto Rico
Registered Investment Advisory firm - (5/17/2022 Terminated)Texas
Registered Investment Advisory firm - (5/17/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2150 Post Road Suite 301, Fairfield, CT 06824
Mailing Address
Phone number
(203) 418-9000
Established
Firm type
Fiscal year end
# of Employees
30
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 374 |
| AUM (Assets Under Management) | $ 186,784,367 |
Red Flags
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Company Information
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
CRD#: 134510Fairfield, CT 06824TRUST BUT VERIFY
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Contact information
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