Elizabeth Barnett Sims
Professional Summary
Elizabeth Barnett Sims is a registered financial advisor currently at HERBERT J. SIMS CAPITAL MANAGEMENT, INC. located in Austin, Texas and HERBERT J. SIMS & CO, INC. located in Austin, Texas. Elizabeth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Elizabeth has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 50, Series 79 and Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
19 years in the financial services industry
Current & Past Employments
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Current Firm
HERBERT J. SIM CAPITAL MANAGEMENT INC. | HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
Contact Information
Main Address
2150 Post Road Suite 301, Fairfield, CT 06824Phone Number
(203) 418-9000# of Employees
30SEC notice filing (13 States and Territories)
Registered to provide investment advisory services in 13 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
685AUM (Assets Under Management)
$436,943,333Similar Advisors
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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.
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Primary Firm SEC Registration
HERBERT J. SIM CAPITAL MANAGEMENT INC. | HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
State Registrations and Notice Filings
(7/29/2019)
(1/31/2024)
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 50 — Municipal Advisor Representative Qualification Exam
Passed Feb 2016About the Series 50 examSeries 79 — Investment Banking Registered Representative Examination
Passed Feb 2015About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Elizabeth Barnett Sims's CRS (Customer Relationship Summary).
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