RB
Rebecca L. Beckett
HERBERT J. SIMS CAPITAL MANAGEMENT
Fairfield, CT 06824
Some features on this profile are disabled
CRD#: 5417719
RB
Professional summary
Rebecca Louise Beckett, CFP®, who also goes by Rebecca Louise Beckett, Rebecca Louise Mazza, is a registered financial advisor currently at HERBERT J. SIMS CAPITAL MANAGEMENT, INC. located in Fairfield, Connecticut and HERBERT J. SIMS & CO, INC. located in Boca Raton, Florida.
Rebecca is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Rebecca has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rebecca Louise Beckett | Rebecca Louise Mazza
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.
Rebecca Beckett 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. Ms. Beckett began her association with HJSCM in January 2020 and devotes approximately 50% of her time to HJSCM; however, Ms. Beckett's primary business is providing brokerage services through the broker-dealer.
CRS (Client Relationship Summary) - RIA
Click below to view Rebecca Louise Beckett'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: 2021
Experience
Current
February 21, 2020 - Present
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
Office #1: 2150 Post Road Suite 301, Fairfield, CT 06824RIA
CRD#: 134510
Fairfield, CT
Current
January 17, 2020 - Present
HERBERT J. SIMS & CO, INC.
Office #1: 2700 N. Military Trail #400, Boca Raton, FL 33431BD
CRD#: 3420
Boca Raton, FL
Past
November 8, 2016 - January 24, 2020
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
PALM BEACH GARDENS, FL
Past
June 23, 2014 - January 24, 2020
OPPENHEIMER & CO. INC.
BD
CRD#: 249
PALM BEACH GARDENS, FL
Past
August 20, 2012 - June 9, 2014
SOUTHEAST INVESTMENTS, N.C., INC.
BD
CRD#: 43035
CHARLOTTE, NC
Past
October 10, 2007 - August 29, 2012
DAVID LERNER ASSOCIATES, INC.
BD
CRD#: 5397
BOCA RATON, FL
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
Alabama(5/15/2020)
RR
Alaska(11/16/2020)
RR
Arizona(1/17/2020)
RR
California(1/17/2020)
RR
Connecticut(1/17/2020)
RR
Delaware(5/18/2020)
RR
District of Columbia(5/15/2020)
RR
Florida(1/17/2020)
IAR
Florida(2/21/2020)
RR
Georgia(1/17/2020)
RR
Illinois(2/27/2020)
RR
Indiana(2/3/2020)
RR
Maine(1/17/2020)
RR
Maryland(1/17/2020)
IAR
Maryland(5/19/2022)
RR
Massachusetts(2/28/2020)
IAR
Massachusetts(7/18/2023)
RR
Montana(5/20/2020)
RR
New Jersey(1/17/2020)
IAR
New Jersey(6/14/2023)
RR
New York(1/17/2020)
IAR
New York(5/19/2022)
RR
North Carolina(1/17/2020)
IAR
North Carolina(7/20/2021)
RR
Oregon(3/4/2020)
RR
Pennsylvania(1/29/2020)
RR
South Carolina(6/8/2020)
RR
South Dakota(4/24/2025)
RR
Tennessee(2/5/2020)
RR
Virginia(1/17/2020)
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
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.
