Shane Alexander Appelbaum
Investment Adviser Representative at Herbert J. SIMS Capital Management, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Shane Alexander Appelbaum is an investment adviser representative with Herbert J. SIMS Capital Management, Inc. in Boca Raton, FL, where they have been registered since 2017. They have worked in the securities industry since 2004. They have passed 4 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Connecticut, Florida, Maryland, Massachusetts, New Jersey, New York, North Carolina, and Texas.
Office
Advisors at this office: 7
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Connecticut, Florida, Maryland, Massachusetts, New Jersey, New York, North Carolina, Texas
- Broker:
30 states and territories
Arizona, California, Connecticut, Delaware, District of Columbia, Florida, Illinois, Maine, Maryland, Massachusetts, Michigan, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, Tennessee, Texas, Utah, Vermont, Virginia, Washington, Wyoming
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Herbert J SIMS & CoJan 2004 – no end date reportedBoca Raton, FL
- Herbert J. SIMS Capital ManagementFeb 2017 – no end date reportedBoca Raton, FL
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Herbert J. SIMS Capital Management, Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Firm account minimum
- $50,000 (waivable)
- $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%
+1 more tiers on the firm profile
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Private Wealth Management (tailored investment solutions), Investment Banking (flexible financing solutions and capital advisory for non-profit and for-profit organizations), Institutional Sales & Services (diversified portfolio of income securities including tax-exempt and taxable bonds, corporate bonds, and private placements in primary and secondary markets), and Analysis & Commentary (qualitative and quantitative insight, sector outlooks, and market commentary).
Client types the firm serves
Firm assets under management
$100M–$500M
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 37
- Offices listed on AdvisorFinder:
- 6
- Main office:
- Fairfield, CT
- Founded:
- 1935
- SEC file number:
- 801-124853
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of April 27, 2026
View full firm profileOther advisors at Herbert J. SIMS Capital Management, Inc.
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Shane Alexander Appelbaum 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.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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