BZ
Benjamin J. Zimmer
HERBERT J. SIMS CAPITAL MANAGEMENT
Austin, TX 78746
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CRD#: 6875506
BZ
Professional summary
Benjamin John Zimmer, who also goes by Ben Zimmer, is a registered financial advisor currently at HERBERT J. SIMS CAPITAL MANAGEMENT, INC. located in Austin, Texas and HERBERT J. SIMS & CO, INC. located in Austin, Texas.
Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Benjamin has worked at 4 firms and has passed the Series 65, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ben Zimmer
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.
Benjamin Zimmer is an Asset Management Strategist for Herbert J. Sims Capital Management ("HJSCM"), a SEC registered investment advisor. He is responsible for overall proprietary portfolios and models and conducts due diligence on 3rd party managers. He joined HJSCM in April 2022 and spends approximately 45% of his time on HJSCM business.
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin John Zimmer'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
April 4, 2022 - Present
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
Office #1: 115 Wild Basin Road Ste 100, Austin, TX 78746RIA
CRD#: 134510
Austin, TX
Current
April 14, 2022 - Present
HERBERT J. SIMS & CO, INC.
Office #1: 115 Wild Basin Rd Suite 115, Austin, TX 78746BD
CRD#: 3420
Austin, TX
Past
November 4, 2021 - April 4, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
AUSTIN, TX
Past
January 20, 2021 - August 13, 2021
RISK PARADIGM GROUP, LLC
RIA
CRD#: 155870
Austin, TX
Past
June 14, 2018 - December 31, 2020
RISK PARADIGM GROUP, LLC
RIA
CRD#: 155870
BURLINGTON, MA
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.Highlighted states indicate IAR registrations
IAR
Connecticut(4/4/2022)
IAR
Texas(4/4/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/14/2022
General Securities Representative ExaminationGeneral 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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