TG
Timothy P. Garrettson
HERBERT J. SIMS CAPITAL MANAGEMENT
Fairfield, CT 06824
Some features on this profile are disabled
CRD#: 871896
TG
Professional summary
Timothy Patrick Garrettson 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.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Timothy has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Timothy Garrettson 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. Timothy Garrettson began his association with HJSCM in January 2020 and devotes approximately 50% of his time to HJSCM and approximately 10% of his time is spent on insurance products. 2) Timothy Garrettson is a non-compensated Officer of his wife's Dog Kennel/Dog Boarding business which is not investment-related. Name: DDC Acquisition Corp. Address: 865 SW Enterprise Way, Stuart FL. Timothy Garrettson is an officer of the company with direct involvement occurring outside of securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Patrick Garrettson'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
March 16, 2020 - Present
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
Office #1: 2150 Post Road Suite 301, Fairfield, CT 06824RIA
CRD#: 134510
Fairfield, CT
Current
January 21, 2020 - Present
HERBERT J. SIMS & CO, INC.
Office #1: 2700 N. Military Trail #400, Boca Raton, FL 33431BD
CRD#: 3420
Boca Raton, FL
Past
August 4, 2014 - January 24, 2020
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
PALM BEACH GARDENS, FL
Past
August 1, 2014 - January 24, 2020
OPPENHEIMER & CO. INC.
BD
CRD#: 249
PALM BEACH GARDENS, FL
Past
April 19, 2010 - August 6, 2014
MOORS & CABOT, INC.
RIA
CRD#: 594
BOCA RATON, FL
Past
January 14, 2010 - August 6, 2014
MOORS & CABOT, INC.
BD
CRD#: 594
BOCA RATON, FL
Past
November 28, 2007 - January 20, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
JUPITER, FL
Past
April 5, 2007 - January 20, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
JUPITER, FL
Past
September 10, 2004 - April 18, 2007
RYAN BECK & CO.
RIA
CRD#: 3248
PALM BEACH GARDENS, FL
Past
September 9, 2004 - April 18, 2007
RYAN BECK & CO.
BD
CRD#: 3248
PALM BEACH GARDENS, FL
Past
July 1, 2003 - September 13, 2004
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
STUART, FL
Past
July 1, 2003 - September 13, 2004
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
August 19, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
STUART, FL
Past
August 19, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
October 1, 1997 - September 1, 1999
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
PHOENIX, AZ
Past
June 6, 1990 - October 1, 1997
USLIFE EQUITY SALES CORP.
BD
CRD#: 7962
NEW YORK, NY
Past
October 20, 1989 - June 13, 1990
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
July 20, 1988 - October 24, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
June 20, 1984 - August 3, 1988
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
September 29, 1981 - July 26, 1984
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
February 3, 1981 - October 10, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
September 26, 1979 - February 23, 1981
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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(1/21/2020)
RR
Arizona(1/21/2020)
RR
California(1/21/2020)
RR
Connecticut(1/21/2020)
RR
Delaware(5/18/2020)
RR
District of Columbia(5/15/2020)
RR
Florida(1/21/2020)
IAR
Florida(3/16/2020)
RR
Georgia(3/16/2020)
RR
Illinois(3/12/2020)
RR
Indiana(1/28/2020)
RR
Maine(2/26/2020)
RR
Maryland(1/21/2020)
IAR
Maryland(5/19/2022)
RR
Montana(5/20/2020)
RR
New Jersey(1/21/2020)
IAR
New Jersey(5/2/2024)
RR
New York(1/21/2020)
IAR
New York(5/19/2022)
RR
North Carolina(1/21/2020)
IAR
North Carolina(7/20/2021)
RR
Oregon(11/20/2020)
RR
Pennsylvania(2/14/2020)
RR
South Carolina(6/8/2020)
RR
Virginia(2/26/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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.
