MM
Mary E. Mcfliker
HERBERT J. SIMS CAPITAL MANAGEMENT
Boca Raton, FL 33431
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CRD#: 2366968
MM
Professional summary
Mary Ellen Mcfliker, who also goes by Mary E Carter, Mary Ellen Carter, Mary Carter, Mary Ellen Ringoot, Mary Ringoot, is a registered financial advisor currently at HERBERT J. SIMS CAPITAL MANAGEMENT, INC. located in Boca Raton, Florida and HERBERT J. SIMS & CO, INC. located in Boca Raton, Florida.
Mary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Mary has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 62 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mary E Carter | Mary Ellen Carter | Mary Carter | Mary Ellen Ringoot | Mary Ringoot
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.
Mary McFliker 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. Mary McFliker began her association with HJSCM in April 2025 and devotes approximately 1 and 5% of her time to HJSCM.
CRS (Client Relationship Summary) - RIA
Click below to view Mary Ellen Mcfliker'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
April 7, 2025 - Present
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
Office #1: 2700 N. Military Trail, Suite 400, Boca Raton, FL 33431RIA
CRD#: 134510
Boca Raton, FL
Current
January 13, 2025 - Present
HERBERT J. SIMS & CO, INC.
Office #1: 2700 N. Military Trail #400, Boca Raton, FL 33431BD
CRD#: 3420
Boca Raton, FL
Past
May 17, 2016 - January 16, 2025
STOEVER, GLASS & COMPANY INC.
BD
CRD#: 7031
Boca Raton, FL
Past
February 13, 2012 - May 18, 2016
DAWSON JAMES SECURITIES, INC.
BD
CRD#: 130645
BOCA RATON, FL
Past
November 26, 2002 - January 31, 2012
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
BOCA RATON, FL
Past
July 15, 2002 - November 29, 2002
RYAN BECK & CO.
BD
CRD#: 3248
FLORHAM PARK, NJ
Past
March 11, 1998 - October 3, 2000
PREFERRED SECURITIES GROUP, INC.
BD
CRD#: 35704
BOCA RATON, FL
Past
February 19, 1998 - December 9, 1998
ARGENT SECURITIES, INC.
BD
CRD#: 15297
ATLANTA, GA
Past
January 9, 1998 - January 28, 1998
NICHOLS, SAFINA, LERNER & CO. INC.
BD
CRD#: 35476
NEW YORK, NY
Past
July 17, 1997 - December 31, 1997
THOMAS GREEN SECURITIES, INC.
BD
CRD#: 571
LOS ANGELES, CA
Past
October 30, 1996 - June 18, 1997
BARBER & BRONSON INCORPORATED
BD
CRD#: 26582
MIAMI, 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
Florida(1/13/2025)
IAR
Florida(4/7/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 10/29/1996
Corporate Securities Limited Representative ExaminationSRO 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
CRD#: 134510Boca Raton, FL 33431TRUST BUT VERIFY
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