SL
Sean M. Lalljee
HERBERT J. SIMS CAPITAL MANAGEMENT
Red Bank, NJ 07701
Some features on this profile are disabled
CRD#: 3112655
SL
Professional summary
Sean Mcgordan Lalljee, who also goes by Sean Lalljee, is a registered financial advisor currently at HERBERT J. SIMS CAPITAL MANAGEMENT, INC. located in Red Bank, New Jersey and HERBERT J. SIMS & CO, INC. located in Red Bank, New Jersey.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Sean has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sean Lalljee
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.
Sean Lalljee 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. Mr. Lalljee began his association with HJSCM in October 2022 and devotes approximately 20% of his time to HJSCM; however, Mr. Lalljee's primary business is providing brokerage services through the broker-dealer.
CRS (Client Relationship Summary) - RIA
Click below to view Sean Mcgordan Lalljee'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
November 2, 2022 - Present
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
Office #1: 331 Newman Springs Rd Bldg 1 Ste 143 4th Fl Ofc 112, Red Bank, NJ 07701RIA
CRD#: 134510
Red Bank, NJ
Current
November 2, 2022 - Present
HERBERT J. SIMS & CO, INC.
Office #1: 331 Newman Springs Road Building 3, Suite 312- 3rd Floor, Red Bank, NJ 07701BD
CRD#: 3420
Red Bank, NJ
Past
February 22, 2005 - November 4, 2022
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WESTFIELD, NJ
Past
December 7, 2004 - November 4, 2022
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WESTFIELD, NJ
Past
September 16, 1998 - December 8, 2004
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
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
Colorado(11/2/2022)
RR
Connecticut(11/2/2022)
IAR
Connecticut(11/2/2022)
RR
Delaware(11/2/2022)
RR
Florida(11/2/2022)
IAR
Florida(8/28/2023)
RR
Georgia(12/18/2024)
RR
Idaho(11/2/2022)
RR
Indiana(11/2/2022)
RR
Kansas(11/2/2022)
RR
Maryland(11/3/2022)
RR
Massachusetts(8/25/2025)
RR
New Jersey(11/2/2022)
IAR
New Jersey(11/3/2022)
RR
New York(11/2/2022)
IAR
New York(11/3/2022)
RR
North Carolina(7/25/2023)
RR
Pennsylvania(11/2/2022)
RR
Virginia(11/2/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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
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.
