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Steven Charles Sapirstein

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

Boca Raton, FLCRD #2014526Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
36 yrs
States Registered
1 states
Exams Passed
9

Professional summary

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

Steven Charles Sapirstein has worked in the securities industry since 1990. They are registered to provide investment advisory services in Florida.

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Florida
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 2/26/1996
Series 63
Uniform Securities Agent State Law Examination
Passed 7/9/1990
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 3
National Commodity Futures Examination
Passed 3/27/1996
Series 31
Futures Managed Funds Examination
Passed 6/21/1993
Series 7
General Securities Representative Examination
Passed 6/16/1990
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 1/2/2023
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 1/2/2023
Series 8
General Securities Sales Supervisor Examination (Options Module & General Module)
Passed 5/16/1994

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
2/11/2025Boca Raton, FL
STOEVER GLASS WEALTH MANAGEMENT, INC.
10/20/20162/7/2025New York, NY
JANNEY MONTGOMERY SCOTT LLC
7/22/20139/22/2016Boca Raton, FL
RAYMOND JAMES & ASSOCIATES, INC.
1/30/20127/17/2013Boca Raton, FL
MORGAN STANLEY SMITH BARNEY LLC
6/1/20091/30/2012Boca Raton, FL
CITIGROUP GLOBAL MARKETS INC.
8/2/19996/1/2009Boca 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. Steven Charles Sapirstein 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.

Steven Charles Sapirstein - Financial Advisor in Boca Raton, FL | AdvisorFinder