DG
Dana L. Green
HERBERT J. SIMS CAPITAL MANAGEMENT
Fairfield, CT 06824
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CRD#: 2237645
DG
Professional summary
Dana Lynn Green, who also goes by Dana Lynn Goodman, 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 Boca Raton, Florida.
Dana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Dana has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dana Lynn Goodman
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.
Dana Green 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. Dana Green began her association with HJSCM in 2021 and devotes approximately 5% of her time to HJSCM; however, Dana Green's primary business is providing brokerage services through the broker-dealer.
CRS (Client Relationship Summary) - RIA
Click below to view Dana Lynn Green'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
August 20, 2021 - Present
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
Office #1: 2150 Post Road Suite 301, Fairfield, CT 06824RIA
CRD#: 134510
Fairfield, CT
Current
June 29, 2021 - Present
HERBERT J. SIMS & CO, INC.
Office #1: 2700 N. Military Trail #400, Boca Raton, FL 33431BD
CRD#: 3420
Boca Raton, FL
Past
September 18, 2020 - July 1, 2021
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
FT. LAUDERDALE, FL
Past
July 6, 2020 - July 1, 2021
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
FT. LAUDERDALE, FL
Past
October 23, 2019 - April 7, 2020
DAVID LERNER ASSOCIATES, INC.
BD
CRD#: 5397
BOCA RATON, FL
Past
February 28, 1994 - April 25, 2003
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
BD
CRD#: 3466
NEW YORK, NY
Past
April 12, 1993 - February 2, 1994
GMS GROUP
BD
CRD#: 8000
EAST HANOVER, NJ
Past
February 25, 1993 - March 4, 1993
BARBER & BRONSON INCORPORATED
BD
CRD#: 26582
MIAMI, FL
Past
August 12, 1992 - October 19, 1992
BILTMORE SECURITIES, INC.
BD
CRD#: 25023
FT. LAUDERDALE, FL
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
Arizona(1/6/2022)
RR
California(1/4/2022)
RR
Colorado(4/12/2023)
RR
Connecticut(8/11/2021)
RR
Delaware(1/4/2022)
RR
Florida(6/29/2021)
IAR
Florida(8/20/2021)
RR
Georgia(8/11/2021)
RR
Illinois(4/12/2023)
RR
Indiana(10/13/2023)
RR
Kansas(1/6/2022)
RR
Maryland(8/11/2021)
RR
Massachusetts(1/4/2022)
IAR
Massachusetts(7/14/2023)
RR
Michigan(1/4/2022)
RR
Nevada(1/6/2022)
RR
New Hampshire(1/4/2022)
RR
New Jersey(1/4/2022)
IAR
New Jersey(5/2/2024)
RR
New York(8/17/2021)
RR
North Carolina(1/4/2022)
IAR
North Carolina(6/18/2024)
RR
Oklahoma(1/4/2022)
RR
Oregon(7/25/2023)
RR
Pennsylvania(9/17/2021)
RR
Rhode Island(9/17/2021)
RR
South Carolina(9/17/2021)
RR
Tennessee(3/18/2024)
RR
Texas(4/12/2023)
RR
Virginia(1/4/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/23/2019
General Securities Representative ExaminationGeneral 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
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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
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.
