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JD

Jason Howard Diamond

HERBERT J. SIMS CAPITAL MANAGEMENT

FAIRFIELD, CT

·CRD# 2320884·33 years experience

Professional Summary

Jason Howard Diamond 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 Fairfield, Connecticut. Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Jason has worked at 5 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7, Series 24 and Series...

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

Email

xxxxx@xxxx.xxx

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

33 years in the financial services industry

Current & Past Employments

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.·CRD# 134510

RIA

2150 Post Road Suite 301, Fairfield, CT 06824

October 23, 2014 - Present

HERBERT J. SIMS & CO, INC.·CRD# 3420

BD

1. 2150 Post Road Suite 301, Fairfield, CT 068242. 2150 Post Road Suite 301, Fairfield, CT 068243. 8300 Norman Center Drive Suite 100, Bloomington, MN 55437

June 14, 2007 - Present

ADVEST, INC.·CRD# 10

RIA

Hartford, CT

October 10, 2003 - May 31, 2006

ADVEST, INC.·CRD# 10

BD

Hartford, CT

October 9, 2003 - August 3, 2006

SIGNATOR INVESTORS, INC.·CRD# 468

BD

Boston, MA

March 14, 1996 - July 18, 2002

WALL STREET ACCESS·CRD# 10012

BD

New York, NY

July 6, 1993 - February 8, 1996

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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 - SEC (5/2/2022 Approved)

Connecticut

Registered Investment Advisory firm - Connecticut (6/1/2022 Terminated)

Florida

Registered Investment Advisory firm - Florida (5/17/2022 Terminated)

Louisiana

Registered Investment Advisory firm - Louisiana (3/12/2025 Terminated)

Maryland

Registered Investment Advisory firm - Maryland (5/23/2022 Terminated)

Minnesota

Registered Investment Advisory firm - Minnesota (6/3/2022 Terminated)

New Jersey

Registered Investment Advisory firm - New Jersey (5/19/2022 Terminated)

North Carolina

Registered Investment Advisory firm - North Carolina (5/20/2022 Terminated)

Puerto Rico

Registered Investment Advisory firm - Puerto Rico (5/17/2022 Terminated)

Texas

Registered Investment Advisory firm - Texas (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).

Contact Information

Main Address

2150 Post Road Suite 301, Fairfield, CT 06824

Phone Number

(203) 418-9000

# of Employees

30

SEC notice filing (13 States and Territories)

Registered to provide investment advisory services in 13 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

HJSCM ANNUAL 2A BROCHURE_MARCH 31, 2026 FINAL (3/30/2026)

HJSCM WRAP FEE PROGRAM BROCHURE-MARCH 31, 2026 FINAL (3/30/2026)

Regulatory Assets Under Management

Total Number of Accounts

685

AUM (Assets Under Management)

$436,943,333

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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.

NAME: Workplace Elemental Technologies (W.E.T); business is not investment-related; Address: 16 Congress St., Unit 2, Beverly, MA 01915; WET provides environmentally conscious workplace safety and cost reduction solutions to businesses and individuals; role is as a non-paid Board member started in Feb 2021; devote 0-3 hours per month during off business hours.

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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 - SEC (5/2/2022 Approved)

Connecticut

Registered Investment Advisory firm - Connecticut (6/1/2022 Terminated)

Florida

Registered Investment Advisory firm - Florida (5/17/2022 Terminated)

Louisiana

Registered Investment Advisory firm - Louisiana (3/12/2025 Terminated)

Maryland

Registered Investment Advisory firm - Maryland (5/23/2022 Terminated)

Minnesota

Registered Investment Advisory firm - Minnesota (6/3/2022 Terminated)

New Jersey

Registered Investment Advisory firm - New Jersey (5/19/2022 Terminated)

North Carolina

Registered Investment Advisory firm - North Carolina (5/20/2022 Terminated)

Puerto Rico

Registered Investment Advisory firm - Puerto Rico (5/17/2022 Terminated)

Texas

Registered Investment Advisory firm - Texas (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.

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Connecticut
(6/14/2007)

IAR

Connecticut
(10/23/2014)

IAR

Puerto Rico
(1/21/2015)

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.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1999About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Jan 1999About the Series 65 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jul 1997About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Dec 1997About the Series 24 exam

Series 27 — Financial and Operations Principal Examination

Passed Jun 1993About the Series 27 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Jason Howard Diamond's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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JD

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