Manuel F. Melendez

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CRD#: 4648278

Professional summary

Manuel Francisco Melendez was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Manuel is a previously registered financial professional and started their career in finance in 2003. Prior to being barred, Manuel had worked at 5 firms, which includes HERBERT J. SIMS CAPITAL MANAGEMENT INC., HERBERT J. SIMS & CO INC., UBS FINANCIAL SERVICES INC., UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO, POPULAR SECURITIES LLC.

Question & Answer

Are you a "fiduciary"?

Aliases

Manuel F. Melendez Gonzalez | Manuel Francisco Melendez Gonzalez

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 28, 2023 - September 20, 2023

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

RIA

CRD#: 134510

Guaynabo, PR

Past

April 28, 2023 - September 20, 2023

HERBERT J. SIMS & CO, INC.

CRD#: 3420

GUAYNABO, PR

Past

July 11, 2018 - May 24, 2023

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN JUAN, PR

Past

May 8, 2007 - October 19, 2021

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

CRD#: 13042

SAN JUAN, PR

Past

May 8, 2007 - May 24, 2023

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SAN JUAN, PR

Past

November 7, 2003 - March 27, 2007

POPULAR SECURITIES, LLC

CRD#: 8096

SAN JUAN, PR

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/4/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/6/2003

General Securities Representative Examination

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)

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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

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Manuel F. Melendez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HERBERT J. SIMS & CO, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

UBS FINANCIAL SERVICES INC.

POPULAR SECURITIES, LLC

Primary Firm SEC Registration

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/4/2017

SIE

Date: 10/1/2018

Series 7

Date: 11/6/2003

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

Contact information

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