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David Kenneth Galuskin

Investment Adviser Representative at HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

Red Bank, NJCRD #3034250Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
26 yrs
States Registered
4 states
Exams Passed
8

Registrations & licenses

Registration type
Dual-registered
Registered in 4 states
ConnecticutMontanaNew JerseyWashington
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 12/4/2019
Series 63
Uniform Securities Agent State Law Examination
Passed 5/8/2004
Series 52
Municipal Securities Representative Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 9/12/2000
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 3/28/1998
Series 53
Municipal Securities Principal Examination
Passed 1/26/2008
Series 24
General Securities Principal Examination
Passed 11/7/2000

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
$50,000 – $500,0002.50%
$500,001 – $1,000,0002.00%
$1,000,001 – $2,500,0001.75%
$2,500,001 – $5,000,0001.50%
Over $5,000,0011.25%
Account minimum: $50,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Herbert J. SIMS Capital Management, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.Current
12/4/2019Red Bank, NJ
DAVID LERNER ASSOCIATES, INC.
2/10/200412/18/2018Lawrenceville, NJ
WALNUT STREET SECURITIES, INC.
3/24/20031/20/2004El Segundo, CA
NEW ENGLAND SECURITIES
5/9/20021/13/2004New York, NY
METLIFE SECURITIES INC.
5/10/20001/6/2004Springfield, MA
METROPOLITAN LIFE INSURANCE COMPANY
5/10/20001/6/2004New York, NY
NATHAN & LEWIS SECURITIES, INC.
5/31/20028/1/2003New York, NY
WALNUT STREET SECURITIES, INC.
5/9/20023/24/2003El Segundo, CA
PRUCO SECURITIES CORPORATION
4/14/19986/2/1998Newark, NJ

Official records & sources

Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

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