FC
Frank O. Curcio
HERBERT J. SIMS CAPITAL MANAGEMENT
Fairfield, CT 06824
Some features on this profile are disabled
CRD#: 1333481
FC
Professional summary
Frank Oscar Curcio 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 Palm Beach Gardens, Florida.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Frank has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Frank Curcio is an investment adviser representative of HJ Sims Capital Management ("HJSCM"), a SEC registered investment advisor and wholly owned subsidiary of HJ Sims Co., Inc. HJSCM primarily provides customized investment management services to high-net-worth individuals and associated trusts, estates, pension and profit-sharing plans, and other legal entities. Mr. Curcio began his association with HJSCM on 12/18/2020 and devotes approximately 25% of his time to HJSCM; however, Mr. Curcio's primary business is providing brokerage services through the broker-dealer.
CRS (Client Relationship Summary) - RIA
Click below to view Frank Oscar Curcio'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
July 8, 2021 - Present
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
Office #1: 2150 Post Road Suite 301, Fairfield, CT 06824Office #2: 270 South Central Blvd Suite 205, Jupiter, FL 33458RIA
CRD#: 134510
Fairfield, CT
Current
December 18, 2020 - Present
HERBERT J. SIMS & CO, INC.
Office #1: 3801 Pga Boulevard Suite 600, Office #606, Palm Beach Gardens, FL 33410BD
CRD#: 3420
Palm Beach Gardens, FL
Past
January 11, 2017 - December 24, 2020
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
PALM BEACH GARDENS, FL
Past
January 10, 2017 - December 24, 2020
OPPENHEIMER & CO. INC.
BD
CRD#: 249
PALM BEACH GARDENS, FL
Past
August 4, 2014 - December 13, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
PALM BEACH GARDENS, FL
Past
June 3, 2014 - December 13, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
PALM BEACH GARDENS, FL
Past
July 26, 1994 - September 13, 1994
CITICORP SECURITIES, INC.
BD
CRD#: 7474
Past
June 8, 1992 - April 11, 1994
FALCONWOOD SECURITIES CORPORATION
BD
CRD#: 25062
Past
January 11, 1990 - May 31, 1990
FIRST EAGLE, INC.
BD
CRD#: 16509
Past
November 22, 1989 - January 20, 1990
ANDERSON, BRYANT & CO.
BD
CRD#: 13185
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(12/18/2020)
IAR
Connecticut(7/8/2021)
RR
Florida(12/18/2020)
IAR
Florida(8/26/2021)
RR
Massachusetts(12/18/2020)
RR
New Jersey(12/18/2020)
RR
New York(12/18/2020)
RR
North Carolina(9/15/2021)
IAR
North Carolina(9/21/2021)
RR
Pennsylvania(12/18/2020)
RR
Tennessee(5/13/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
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.
