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BS

Brennan W. Sim

CAPITAL UNITED
Miami, FL
Some features on this profile are disabled
CRD#: 6188818
BS

Professional summary

Brennan William Sim, who also goes by Brennan W Sim, is a registered financial advisor currently at CAPITAL UNITED, LLC located in Miami, Florida.

Brennan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Brennan has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Brennan W Sim

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.
MAY EARN COMMISSIONS FROM INSURANCE COMPANIES NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, ANNUITY AND/OR DISABILITY INCOME INSURANCE PRODUCTS. Brennan Sim is a contract worker for EB5 United where he does seminar presentations and does not receive commissions. Brennan Sim is the principal owner of Baypointe EB-5 Regional Center where he keeps track of company finances and does not receive commissions. Brennan Sim is the principal owner of Abaco EB-5 Fund GP, LLC. I assist in underwriting and structuring of deals and I manage the sales organization at EB5 United, I'm paid through a profit share. I own 50% of and operate BayPointe EB-5 Regional Center. This business is not actively creating more business like EB5 United. I am paid with 50% of the profits.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brennan William Sim'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®
None

Experience

Current

June 5, 2023 - Present

CAPITAL UNITED, LLC

RIA
CRD#: 285616
Miami, FL
Past

February 8, 2018 - March 27, 2023

CAPITAL UNITED, LLC

RIA
CRD#: 285616
HILLSBORO, OR
Past

February 25, 2015 - June 8, 2016

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
MOBILE, AL
Past

July 30, 2014 - June 8, 2016

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MOBILE, AL

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".
CU
CAPITAL UNITED, LLC
CAPITAL UNITED, LLC

CRD#: 285616 / SEC#: 801-129928

RIA
Registered Investment Advisory firm - (4/17/2024 Approved)
Florida
Registered Investment Advisory firm - (5/19/2023 Approved)
Oregon
Registered Investment Advisory firm - (3/10/2023 Approved)
Puerto Rico
Registered Investment Advisory firm - (10/7/2025 Approved)

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.

Highlighted states indicate IAR registrations

IAR
Florida
(6/5/2023)
IAR
Puerto Rico
(9/13/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/24/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/15/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/8/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/30/2014
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CU
CAPITAL UNITED, LLC
CAPITAL UNITED, LLC

CRD#: 285616 / SEC#: 801-129928

RIA
Registered Investment Advisory firm - (4/17/2024 Approved)
Florida
Registered Investment Advisory firm - (5/19/2023 Approved)
Oregon
Registered Investment Advisory firm - (3/10/2023 Approved)
Puerto Rico
Registered Investment Advisory firm - (10/7/2025 Approved)
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Contact information

Main Address
5920 Ne Ray Circle Ste 180, Hillsboro, OR 97124
Mailing Address
Phone number
(424) 279-8308
Established
Firm type
Fiscal year end
# of Employees
0

SEC notice filing (1 States and Territories)

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Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A-CAPITAL UNITED, LLC (3/27/2025)

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.

Company Information

CAPITAL UNITED, LLC

CRD#: 285616Miami, FL

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