Peter J. Dee
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Peter Julian Dee SR, who also goes by Peter Julian Dee, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1972. Peter had worked at 10 firms and has passed the Series 66, Series 63, SIE, PC, Series 1 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2008 - January 3, 2017
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
February 21, 1990 - January 3, 2017
HERBERT J. SIMS & CO, INC.
January 21, 1988 - January 20, 1990
CIBC WORLD MARKETS CORP.
May 10, 1983 - January 30, 1988
SCHRODER & CO. INC.
January 6, 1981 - May 18, 1983
LEHMAN BROTHERS INC.
May 31, 1979 - October 21, 1983
ALEX. BROWN & SONS INCORPORATED
January 18, 1978 - July 13, 1979
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
April 7, 1977 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
February 25, 1972 - May 8, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
CRD#: 134510 / SEC#: 801-124853
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 1/30/1980
AMEX Put and Call ExamSeries 1
Date: 2/22/1972
Registered Representative ExaminationCurrent Firm
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
CRD#: 134510 / SEC#: 801-124853
Contact information
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.
