0000090608-23-000007.txt : 20230502 0000090608-23-000007.hdr.sgml : 20230502 20230502154108 ACCESSION NUMBER: 0000090608-23-000007 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 WADE,JENNIFER,LYNN, FILED AS OF DATE: 20230502 DATE AS OF CHANGE: 20230502 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: 23878584 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 Karen Carroll 5616202138 kcarroll@hjsims.com kcarroll@hjsims.com vhebert@hjsims.com N N Jennifer Lynn Wade 5244499 N 1 0000090608 HERBERT J. SIMS & CO, INC. 05-01-2023 N 867-01435 LOCATED 05-01-2023 8300 Norman Center Drive, Ste.100 Bloomington MN 55437 SUPERVISED 05-01-2023 11140 Rockville Pike Suite 630 Rockville MD 20852 05-2023 Herbert J. Sims & Co., Inc. Fairfield CT 06824 Y Y Senior Vice President 10-2006 05-2023 PIPER JAFFRAY & CO. MINNEAPOLIS MN 55402 Y Y ASSOCIATE, PUBLIC FINANCE SERVICES 05-2003 10-2006 PUBLIC FINANCIAL MANAGEMENT INC. MINNEAPOLIS MN 55402 Y Y CONSULTANT Y 02-2020 University of Minnesota, Carlson School of Management Alumni Board 321 Nineteenth Avenue S Minneapolis MN 55455 N N College Alumni Association Board Member/Director 2 The goal of the Alumni Board is to advance the mission of the Carlson School's alumni relations department by providing strategic direction and input to grow an active, engaged and philanthropic alumni community as well as to utilize individual networks to connect alumni, students and friends to the school. 08-2019 Women in Public Finance 600 W 8th Street Austin TX 78701 N Y Non-profit industry board Board Member / Director 1 Board Member / Director 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 05-02-2023 Karen Carroll Compliance Analyst