# EDGAR Filing Document

**Accession Number:** 0000090608
**File Stem:** 0000090608-25-000016
**Filing Date:** 2025-6
**Character Count:** 13059
**Document Hash:** 55c603856a8e492dbbbcf8c96f714234
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000090608-25-000016.hdr.sgml**: 20250623

**ACCESSION NUMBER**: 0000090608-25-000016

**CONFORMED SUBMISSION TYPE**: MA/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20250616

**DATE AS OF CHANGE**: 20250623

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** HERBERT J. SIMS & CO, INC.
- **CENTRAL INDEX KEY:** 0000090608

**ORGANIZATION NAME:**
- **EIN:** 135213180
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** MA/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-01435
- **FILM NUMBER:** 251065902

**BUSINESS ADDRESS:**
- **STREET 1:** 2150 POST ROAD
- **STREET 2:** SUITE 301
- **CITY:** FAIRFIELD
- **STATE:** CT
- **ZIP:** 06824
- **BUSINESS PHONE:** (203) 418-9020

**MAIL ADDRESS:**
- **STREET 1:** 2150 POST ROAD
- **STREET 2:** SUITE 301
- **CITY:** FAIRFIELD
- **STATE:** CT
- **ZIP:** 06824

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** HERBERT J. SIMS & CO. INC.
- **DATE OF NAME CHANGE:** 20020611

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** SIMS HERBERT J & CO INC
- **DATE OF NAME CHANGE:** 20020611

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** SIMS HERBERT J & CO INC /CT/                            /BD
- **DATE OF NAME CHANGE:** 19941025

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0000090608

**Filer CCC:** XXXXXXXX

**Contact Name:** Karen Carroll

**Contact Phone:** 561-620-2138

**Contact Email:** kcarroll@hjsims.com

**Notification Emails:** vhebert@hjsims.com, kcarroll@hjsims.com

### Type of Filing

**Selected Filing Type:** Amendment

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** HERBERT J. SIMS & CO, INC.

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 3420

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** No

**C. IRS Employer Identification Number:** 13-5213180

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00704-00

- **Municipal Advisor:** SEC File No: 867-01435

- **Broker-Dealer:** SEC File No: 008-3315, CRD No: 3420

- **Other:** Description: CTFTC, ID: 0442021

**E. Principal Office and Place of Business:** 2150 POST ROAD, SUITE 301, FAIRFIELD, CT, 06824

**Telephone Number:** 203-418-9030

**Additional Offices of Employment:**

- **Office #1 (Add):** 11140 Rockville Pike, Suite 630, Rockille, MD, 20852 | Phone: 203-418-9083

**Mailing Address is Different from Principal Office:** No

**F. Website:** www.hjsims.com.

**G. Chief Compliance Officer (CCO):**

**Name:** Valerie Odette Hebert

**Address:** 2150 Post Road, Suite 301, Fairfield, CT, 06824

**Phone Number:** 203-418-9020

**Email:** vhebert@hjsims.com

**H. Business Affiliates:**

- **Name:** Herbert J. Sims Capital Management Inc.

  - **Issuing Agency:** CT Registered Investment Advisor

  - **Jurisdiction:** CT

- **Name:** Sims Mortgage Funding, Inc.

- **Name:** HJS, Advisors Inc.

- **Name:** HJS Investments

**I. Location of Books and Records:** No

### Item 2: Form of Organization

**A. Applicant's form of organization:** Corporation

**B. Month of Applicant's Annual Fiscal Year End:** December

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** DE

**D. Date of Organization:** 12-15-2012

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 77

**B. Municipal Advisory Activities - Employees:** 16

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 16

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 22

**&nbsp;&nbsp;&nbsp;Types of Clients:** Non-profit organizations, Corporations or other businesses

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Fixed Fees
Contingent Fees
, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice Investment Of Proceeds MS, Advice ME Investments, Advice Guaranteed IC, Advice Use Of MD, Advice On Selection

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

- **Insurance:** Actively Engaged: Yes, Primary Business: —

**Is applicant engaged in any other non-municipal advisor business?** Yes

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Adviser, Broker-dealer municipal securities dealer or government securities broker or dealer, Investment Company, Insurance company or agency

**Total Associated Persons:** 2

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** Yes

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** No

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** —

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** No

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** Yes

- **SEC/CFTC Imposed Civil Penalty?:** No

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** No

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** Yes

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** Yes

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** Yes

### Schedule A: Direct Owners and Executive Officers

| Name                   | Title/Status                               | Date Acquired   | Ownership Code            | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| Teksys                 | Owner                                      | 08-28-2014      | E - 75% or more           | No                | 13-2674133   |  |
| William Barnett Sims   | President                                  | 08-28-2014      | NA - less than 5%         | Yes               |  | 425019       |
| Jason Howard Diamond   | Chief Financial Officer/Managing Principal | 05-01-2007      | B - 10% but less than 25% | Yes               |  | 2320884      |
| R Jeffrey NMN Sands    | Director                                   | 12-15-2012      | NA - less than 5%         | Yes               |  | 4285040      |
| Aaron Mordecai Rulnick | Director                                   | 12-15-2012      | B - 10% but less than 25% | Yes               |  | 3149315      |
| Daniel Joseph Mullane  | Managing Principal                         | 08-01-2019      | NA - less than 5%         | Yes               |  | 1246435      |
| Valerie Odette Hebert  | Chief Compliance Officer                   | 09-16-2019      | NA - less than 5%         | No                |  | 4007252      |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity   | Name                   | Title/Status                               | Date Acquired   | Ownership Code            | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | Teksys                 | Owner                                      | 08-28-2014      | E - 75% or more           | No                | 13-2674133   |  |
|  | Direct      |  | William Barnett Sims   | President                                  | 08-28-2014      | NA - less than 5%         | Yes               |  | 425019       |
|  | Direct      |  | Jason Howard Diamond   | Chief Financial Officer/Managing Principal | 05-01-2007      | B - 10% but less than 25% | Yes               |  | 2320884      |
|  | Direct      |  | R Jeffrey NMN Sands    | Director                                   | 12-15-2012      | NA - less than 5%         | Yes               |  | 4285040      |
|  | Direct      |  | Aaron Mordecai Rulnick | Director                                   | 12-15-2012      | B - 10% but less than 25% | Yes               |  | 3149315      |
|  | Direct      |  | Daniel Joseph Mullane  | Managing Principal                         | 08-01-2019      | NA - less than 5%         | Yes               |  | 1246435      |
|  | Direct      |  | Valerie Odette Hebert  | Chief Compliance Officer                   | 09-16-2019      | NA - less than 5%         | No                |  | 4007252      |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Herbert j sims

- **CRD Number:** 3420

- **Disclosure Number:** 1973444

**Regulatory DRP for: Applicant (Responding to Questions: 9-C2, 9-C4, 9-C5)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Herbert J Sims

- **CRD Number:** 3420

- **Disclosure Number:** 2143960

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Herbert J Sims

- **CRD Number:** 3420

- **Disclosure Number:** 2253815

**Regulatory DRP for: Applicant (Responding to Questions: 9-D4)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Herbert J. Sims & Co., Inc.

- **CRD Number:** 3420

- **Disclosure Number:** 2386532

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Herbert J. Sims & Co.

- **CRD Number:** 3420

- **Disclosure Number:** 2409288

### Execution Page

**Signature:** Karen Carroll

**Signer Name:** Karen Carroll

**Title:** Compliance Analyst

**Date:** 06-16-2025