Stacy M. Goldsmith
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.
Stacy Mari Goldsmith, who also goes by Stacy Goldsmith, was a registered financial professional .
Stacy is a previously registered financial professional and started their career in finance in 1985. Stacy had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2020 - December 3, 2024
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
May 24, 2016 - February 3, 2020
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
February 22, 2012 - December 3, 2024
HERBERT J. SIMS & CO, INC.
December 15, 2008 - March 2, 2012
UBS FINANCIAL SERVICES INC.
September 1, 2004 - December 31, 2008
GLEN RAUCH SECURITIES, INC.
October 20, 2003 - August 30, 2004
W. H. MELL ASSOCIATES, INC.
May 1, 2002 - October 20, 2003
WAMU INVESTMENTS, INC.
April 24, 2001 - May 1, 2002
DIME SECURITIES, INC.
October 1, 2000 - May 22, 2001
WELLS FARGO CLEARING SERVICES, LLC
February 16, 1996 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
October 5, 1993 - January 3, 1996
FIRST FIDELITY BROKERS, INC.
May 8, 1990 - October 13, 1992
FIRST INSTITUTIONAL SECURITIES, L.L.C.
May 7, 1990 - March 25, 1992
BROADWAY FINANCIAL INVESTMENT SERVICES CORP.
March 26, 1990 - May 8, 1990
R. SEELAUS & CO., LLC
October 23, 1989 - March 14, 1990
COMMONWEALTH SECURITIES AND INVESTMENTS, INC.
October 22, 1985 - July 25, 1989
DISCOUNT CORPORATION OF NEW YORK MUNICIPALS
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
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