Guy B. Blackwell
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Guy Braxton Blackwell III, who also goes by (iii) Guy B Blackwell, Guy Braxton Blackwell,iii, was a registered financial professional .
Guy is a previously registered financial professional and started their career in finance in 1984. Guy had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2008 - October 3, 2019
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
September 22, 2006 - October 3, 2019
HERBERT J. SIMS & CO, INC.
November 16, 2005 - September 26, 2006
S.W. BACH & COMPANY
November 16, 2005 - September 26, 2006
S.W. BACH & COMPANY
November 1, 2001 - December 5, 2005
KIRLIN SECURITIES INC.
October 13, 2000 - May 3, 2001
BERGEN CAPITAL, INC.
May 11, 2000 - July 25, 2000
STOEVER, GLASS & COMPANY INC.
November 19, 1999 - January 20, 2000
SCHNEIDER SECURITIES, INC.
March 17, 1995 - June 28, 1999
A. G. EDWARDS & SONS, INC.
August 16, 1994 - March 24, 1995
GMS GROUP
March 17, 1993 - August 30, 1994
FIRST INTERREGIONAL EQUITY CORP.
August 29, 1990 - August 2, 1991
MILLER TABAK HIRSCH & CO.
July 26, 1984 - January 8, 1990
EDELMAN SECURITIES COMPANY, L.P.
Primary Firm SEC Registration
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
CRD#: 134510 / SEC#: 801-124853
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
CRD#: 134510 / SEC#: 801-124853
Contact information
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
