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Nicholas Squitieri

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

Fairfield, CTCRD #2436788Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
30 yrs
States Registered
1 states
Exams Passed
9

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Connecticut
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 2/18/2020
Series 63
Uniform Securities Agent State Law Examination
Passed 11/8/1994
Series 52
Municipal Securities Representative Examination
Passed 9/25/2025
Series 99
Operations Professional Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 10/19/1994
Series 24
General Securities Principal Examination
Passed 8/4/2011
Series 27
Financial and Operations Principal Examination
Passed 1/25/2011
Series 53
Municipal Securities Principal Examination
Passed 4/27/1998

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
2/19/2020Fairfield, CT
WESTPORT RESOURCES INVESTMENT SERVICES, INC.
4/25/20111/20/2012Westport, CT
RICE FINANCIAL PRODUCTS COMPANY
10/29/20105/23/2011Hoboken, NJ
HAPOALIM SECURITIES USA, INC.
2/13/200812/15/2008New York, NY
LASALLE FINANCIAL SERVICES, INC.
8/25/200312/13/2007Chicago, IL
WACHOVIA SECURITIES, LLC
7/18/20038/19/2003St. Louis, MO
PRUDENTIAL SECURITIES INCORPORATED
9/13/20027/18/2003New York, NY
BANC ONE CAPITAL MARKETS, INC.
4/1/19999/4/2002Chicago, IL
BANC ONE CAPITAL MARKETS, INC.
4/29/19964/1/1999Columbus, OH
ADVEST, INC.
10/20/19944/15/1996Hartford, CT

Official records & sources

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

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Nicholas Squitieri has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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