Allen B. Sims
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Allen Bruce Sims was a registered financial professional .
Allen is a previously registered financial professional and started their career in finance in 1968. Allen had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 000, Series 1, Series 24, Series 4, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2011 - November 12, 2025
CAPITOL SECURITIES MANAGEMENT, INC.
November 18, 2011 - November 12, 2025
CAPITOL SECURITIES MANAGEMENT, INC.
April 4, 2005 - November 21, 2011
ANDERSON & STRUDWICK, INCORPORATED
May 6, 1994 - April 4, 2005
A&S CAPITAL ADVISORS, INC.
July 15, 1992 - November 21, 2011
ANDERSON & STRUDWICK, INCORPORATED
November 18, 1988 - July 23, 1992
FEELEY & WILLCOX SECURITIES CORP.
December 17, 1984 - October 7, 1988
S.G. WARBURG & CO. INC.
November 16, 1983 - December 6, 1984
WACHOVIA SECURITIES, INC.
November 3, 1971 - December 4, 1972
ROTAN MOSLE DALLAS UNION
June 10, 1968 - November 27, 1971
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
June 7, 1968 - September 8, 1983
ROTAN MOSLE INC.
Primary Firm SEC Registration
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 000
Date: 6/7/1968
General Securities Principal ExaminationSeries 1
Date: 6/7/1968
Registered Representative ExaminationSeries 12
Date: 1/18/1984
NYSE Branch Manager ExaminationSeries 40
Date: 12/13/1973
Registered Principal ExaminationCurrent Firm
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Red Flags
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