Michael W. Blakemore

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CRD#: 1330035

Professional summary

Michael Winston Blakemore was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial advisor and started their career in finance in 1985. Prior to being barred, Michael had worked at 6 firms, which includes HERBERT J. SIMS CAPITAL MANAGEMENT INC., HERBERT J. SIMS & CO INC., CITIGROUP GLOBAL MARKETS INC., PRUDENTIAL EQUITY GROUP LLC, A. G. EDWARDS & SONS INC., MCLAUGHLIN PIVEN VOGEL SECURITIES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Mik Winston Blakemore

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 13, 2007 - November 23, 2009

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

RIA

CRD#: 134510

SOUTHPORT, CT

Past

September 22, 2006 - November 23, 2009

HERBERT J. SIMS & CO, INC.

CRD#: 3420

FAIRFIELD, CT

Past

September 5, 2002 - July 15, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

NISKAYUNA, NY

Past

June 12, 1998 - October 5, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NISKAYUNA, NY

Past

March 31, 1995 - June 8, 1998

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

June 13, 1991 - April 6, 1995

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

January 26, 1985 - April 5, 1990

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

CRD#: 7404

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/2/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/19/1985

General Securities Representative Examination

Current Firm

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)

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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

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HJSCM ANNUAL 2A BROCHURE_MARCH 31, 2025 FINAL (3/27/2025)

HJSCM WRAP FEE PROGRAM BROCHURE-MARCH 31, 2025 FINAL (3/27/2025)

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.

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Michael W. Blakemore

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

HERBERT J. SIMS & CO, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

PRUDENTIAL EQUITY GROUP, LLC

A. G. EDWARDS & SONS, INC.

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

Primary Firm SEC Registration

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/2/1984

Series 7

Date: 1/19/1985

Current Firm

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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