KD
Karen Degro
HERBERT J. SIMS CAPITAL MANAGEMENT
Boca Raton, FL 33431
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CRD#: 5048237
KD
Professional summary
Karen Degro, CFP® is a registered financial advisor currently at HERBERT J. SIMS CAPITAL MANAGEMENT, INC. located in Boca Raton, Florida and HERBERT J. SIMS & CO, INC. located in Boca Raton, Florida.
Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Karen has worked at 4 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Karen Degro 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. Karen Degro began her association with HJSCM in September 2023 and devotes approximately 80% of her time to HJSCM.
CRS (Client Relationship Summary) - RIA
Click below to view Karen Degro'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®
CFP®
Start date: 2012
Experience
Current
October 17, 2023 - Present
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
Office #1: 2700 N Military Trail Suite 400, Boca Raton, FL 33431RIA
CRD#: 134510
Boca Raton, FL
Current
September 22, 2023 - Present
HERBERT J. SIMS & CO, INC.
Office #1: 2700 N. Military Trail #400, Boca Raton, FL 33431BD
CRD#: 3420
Boca Raton, FL
Past
April 27, 2016 - October 3, 2023
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
PALO ALTO, CA
Past
January 1, 2006 - October 19, 2021
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
BD
CRD#: 13042
SAN JUAN, PR
Past
January 1, 2006 - October 3, 2023
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
PALO ALTO, CA
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
California(2/26/2024)
RR
Florida(2/20/2024)
IAR
Florida(2/20/2024)
RR
Georgia(4/22/2024)
RR
Idaho(4/24/2024)
RR
Michigan(10/1/2025)
RR
New Jersey(6/5/2024)
RR
Pennsylvania(2/26/2024)
RR
Puerto Rico(10/17/2023)
IAR
Puerto Rico(10/17/2023)
RR
South Dakota(1/16/2025)
RR
Texas(6/17/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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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.
CRD#: 134510Boca Raton, FL 33431TRUST BUT VERIFY
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