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"?
No
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.
Trinity Media Group LLC /Investment realted?;yes/ Montehiedra, #163 Calle Pitirre San Juan, Puerto Rico 00926/ No / Other / LLC - Limited Liability Corporation / Services (Business, Professional, Support) / Own 11 digital outdoor media billboards /Renew contract every 12 months on an outdoor media mesh on the side of a parking structure/ Proprietor / owner / No / Start Date 8/1/2018/TIme reeqd during workig hours?:No Manuel Melendez Gonzalez 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. Melendez Gonzalez began his association with HJSCM in April 2023 and devotes approximately 70% of his time to HJSCM.
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®
NoneExperience
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.
BD
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
BD
CRD#: 13042
SAN JUAN, PR
Past
May 8, 2007 - May 24, 2023
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
SAN JUAN, PR
Past
November 7, 2003 - March 27, 2007
POPULAR SECURITIES, LLC
BD
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".
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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
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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
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
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Company Information
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
Senior Vice President–Wealth ManagementCRD#: 134510TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
