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PA

Philip A Pike

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

Boca Raton, FLCRD #5695273Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
17 yrs
States Registered
3 states
Exams Passed
3

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Philip A. Pike has worked in the securities industry since 2009. They are registered to provide investment advisory services in California, Florida, and Washington.

Registrations & licenses

Registration type
Dual-registered
Registered in 3 states
CaliforniaFloridaWashington
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 10/16/2009
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 9/23/2009

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
1/17/2025Boca Raton, FL
STOEVER GLASS WEALTH MANAGEMENT, INC.
8/23/20171/10/2025Boca Raton, FL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
11/23/20098/7/2017Boca Raton, FL

Official records & sources

Data as of May 30, 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. Philip A Pike 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.