Timothy E. Iltz

HERBERT J. SIMS CAPITAL MANAGEMENT

Charlotte, NC 28277

Some features on this profile are disabled

CRD#: 3085547

Professional summary

Timothy Elliott Iltz, who also goes by Timothy Fredrick Hermann, is a registered financial advisor currently at HERBERT J. SIMS CAPITAL MANAGEMENT, INC. located in Charlotte, North Carolina and HERBERT J. SIMS & CO, INC. located in Charlotte, North Carolina.

Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Timothy has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Timothy Fredrick Hermann

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.

PARKINSONS RESOURCE OF OREGON-MEMBER OF INVESTMENT COMMITTEE-3975 MERCANTILE DR SUITE 154 LAKE OSWEGO, OR 97035.HOURS SPENT IS 2-3 HRS A MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Elliott Iltz's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 23, 2024 - Present

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

Office #1: Curran Building 13950 Ballantyne Corporate Place, Suite 110, Charlotte, NC 28277

RIA

CRD#: 134510

Charlotte, NC

Current

August 9, 2024 - Present

HERBERT J. SIMS & CO, INC.

Office #1: Curran Building 13950 Ballantyne Corporate Place Suite 110, Charlotte, NC 28277

CRD#: 3420

Charlotte, NC

Past

March 15, 2023 - August 7, 2024

AQUILA DISTRIBUTORS LLC

CRD#: 1706

NEW YORK, NY

Past

April 2, 2015 - March 7, 2023

DAVIDSON INVESTMENT ADVISORS, INC.

RIA

CRD#: 110552

PORTLAND, OR

Past

September 7, 2012 - March 7, 2023

DAVIDSON FIXED INCOME MANAGEMENT, INC.

RIA

CRD#: 127844

PORTLAND, OR

Past

August 27, 2012 - November 8, 2019

D.A. DAVIDSON & CO.

RIA

CRD#: 199

PORTLAND, OR

Past

April 25, 2011 - March 7, 2023

D.A. DAVIDSON & CO.

CRD#: 199

PORTLAND, OR

Past

June 7, 2005 - April 27, 2011

WEDBUSH SECURITIES INC.

CRD#: 877

PORTLAND, OR

Past

January 2, 2002 - June 20, 2005

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

November 16, 2001 - January 11, 2002

SUTRO & CO. INCORPORATED

CRD#: 801

SAN FRANCISCO, CA

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".

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)

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.

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

IAR

Connecticut
(10/23/2024)

North Carolina
(8/9/2024)

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

State Security Law Exam

IAR

Series 65

Date: 8/25/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/29/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/17/2003

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 5/21/2001

Municipal Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HJSCM ANNUAL 2A BROCHURE_MARCH 31, 2025 FINAL (3/27/2025)

HJSCM WRAP FEE PROGRAM BROCHURE-MARCH 31, 2025 FINAL (3/27/2025)

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.

Similar Advisors

David Thompson

SPARTA WEALTH PARTNERS

IAR

CHARLOTTE, NC

Jon Hoyle

INNOVATION PARTNERS LLC

Charlotte, NC

Andrew Digirolamo

PFS INVESTMENTS INC.

Charlotte, NC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Timothy E. Iltz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Elliott Iltz's CRS (Customer Relationship Summary).

Certified licenses

Experience

HERBERT J. SIMS & CO, INC.

AQUILA DISTRIBUTORS LLC

DAVIDSON INVESTMENT ADVISORS, INC.

DAVIDSON FIXED INCOME MANAGEMENT, INC.

D.A. DAVIDSON & CO.

D.A. DAVIDSON & CO.

WEDBUSH SECURITIES INC.

RBC CAPITAL MARKETS, LLC

SUTRO & CO. INCORPORATED

Primary Firm SEC Registration

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/25/2012

Series 63

Date: 10/29/2004

SIE

Date: 10/1/2018

Series 7

Date: 5/17/2003

Series 52

Date: 5/21/2001

FINRA

Current Firm

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

Similar Advisors