0000090608-22-000002.txt : 20220127 0000090608-22-000002.hdr.sgml : 20220127 20220127111911 ACCESSION NUMBER: 0000090608-22-000002 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 ROBERTS,NICHOLAS,E, FILED AS OF DATE: 20220126 DATE AS OF CHANGE: 20220127 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HERBERT J. SIMS & CO, INC. CENTRAL INDEX KEY: 0000090608 IRS NUMBER: 135213180 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-I SEC ACT: 1934 Act SEC FILE NUMBER: 868-04545 FILM NUMBER: 22561640 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 MA-I 1 primary_doc.xml MA-I 0000090608 XXXXXXXX Loreto P. Fuentes 2034189046 LFuentes@hjsims.com LFuentes@hjsims.com N N Nicholas E Roberts 7320572 N 1 0000090608 HERBERT J. SIMS & CO, INC. Herbert J Sims 12-07-2020 N 867-01435 LOCATED 12-08-2021 5956 Sherry Lane 20th floor Dallas TX 75225 SUPERVISED 12-08-2021 2150 Post Road #301 Suite 301 Fairfield CT 06824 12-2020 Herbert J Sims Dallas TX 06824 Y Y Vice President 04-2011 12-2020 Greenbrier Development Dallas TX 75248 N N Vice President 08-2010 04-2011 Unemployed (College Student) Dallas TX 75243 N N Full-time College Student N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N 01-26-2022 Loreto P. Fuentes Compliance Officer