Alan J. Dalewitz
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.
Alan Jay Dalewitz was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1985. Alan had worked at 9 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 53, Series 27, Series 24 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 16, 2007 - July 12, 2024
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
April 3, 2006 - July 12, 2024
HERBERT J. SIMS & CO, INC.
July 14, 2003 - April 4, 2006
GLEN RAUCH SECURITIES, INC.
July 14, 1995 - July 28, 2003
HERBERT J. SIMS & CO, INC.
June 22, 1992 - July 19, 1995
CIBC WORLD MARKETS CORP.
December 13, 1989 - June 24, 1992
A. G. EDWARDS & SONS, INC.
August 14, 1989 - December 19, 1989
RELIASTAR FINANCIAL MARKETING CORP.
March 31, 1989 - May 2, 1989
BNY BROKERAGE, INC.
August 19, 1986 - March 31, 1989
ONE WALL STREET BROKERAGE, INC.
December 4, 1985 - October 31, 1986
FIDELITY DISTRIBUTORS CORPORATION
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent 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.
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