PP
Philip A. Pike
HERBERT J. SIMS CAPITAL MANAGEMENT
Boca Raton, FL 33431
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CRD#: 5695273
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Professional summary
Philip A Pike, who also goes by Philip Pike, 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.
Philip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Philip has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Philip Pike
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.
Philip Pike is an Investment Advisor 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. Pike began his association with HJSCM in January 2025 and devotes approximately 50% of his time to HJSCM and 5% to insurance business.
CRS (Client Relationship Summary) - RIA
Click below to view Philip A Pike'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®
NoneExperience
Current
January 17, 2025 - Present
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
Office #1: 2700 N Military Trail Suite 220, Boca Raton, FL 33431RIA
CRD#: 134510
Boca Raton, FL
Current
January 10, 2025 - Present
HERBERT J. SIMS & CO, INC.
Office #1: 2700 N. Military Trail #400, Boca Raton, FL 33431BD
CRD#: 3420
Boca Raton, FL
Past
August 23, 2017 - January 10, 2025
STOEVER GLASS WEALTH MANAGEMENT, INC.
RIA
CRD#: 173091
boca raton, FL
Past
August 4, 2017 - January 10, 2025
STOEVER, GLASS & COMPANY INC.
BD
CRD#: 7031
NEW YORK, NY
Past
November 23, 2009 - August 7, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BOCA RATON, FL
Past
September 24, 2009 - August 7, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
California(1/17/2025)
RR
Florida(1/17/2025)
IAR
Florida(1/17/2025)
RR
Washington(1/17/2025)
Exams
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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