Robert B. Delguercio
Professional summary
Robert Baldwin Delguercio was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Robert had worked at 11 firms, which includes HERBERT J. SIMS CAPITAL MANAGEMENT INC., HERBERT J. SIMS & CO INC., UBS FINANCIAL SERVICES INC., PNC WEALTH MANAGEMENT LLC, CAPITAL ONE INVESTMENT SERVICES LLC, INVEST FINANCIAL CORPORATION, ESSEX NATIONAL SECURITIES LLC, QUICK & REILLY INC., SUMMIT FINANCIAL SERVICES GROUP INC., FISERV INVESTOR SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2017 - August 23, 2017
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
February 1, 2012 - August 23, 2017
HERBERT J. SIMS & CO, INC.
December 9, 2009 - February 9, 2012
UBS FINANCIAL SERVICES INC.
December 9, 2009 - February 9, 2012
UBS FINANCIAL SERVICES INC.
March 29, 2005 - January 6, 2010
PNC WEALTH MANAGEMENT LLC
August 27, 2004 - January 6, 2010
PNC WEALTH MANAGEMENT LLC
May 18, 2004 - August 31, 2004
CAPITAL ONE INVESTMENT SERVICES LLC
October 2, 2003 - June 2, 2004
INVEST FINANCIAL CORPORATION
July 8, 2002 - October 6, 2003
ESSEX NATIONAL SECURITIES, LLC
April 25, 2001 - July 17, 2002
QUICK & REILLY, INC.
October 21, 1998 - April 25, 2001
SUMMIT FINANCIAL SERVICES GROUP, INC.
August 20, 1996 - October 21, 1998
FISERV INVESTOR SERVICES, INC.
September 14, 1995 - April 19, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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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