Dana Green has been an investment adviser representative at Herbert J. Sims Capital Management since August 2021, and is not listed among the firm’s executive officers or direct owners.
Herbert J. Sims Capital Management, Inc. is a Fairfield, CT firm with $437M under management, 350 clients and 25 advisers across 5 offices, as of its April 2026 filing.
Dana Green’s longest registration is the current one, 5 years at Herbert J. Sims Capital Management since 2021. Before joining Herbert J. Sims Capital Management in 2021, Dana Green was registered through Janney Montgomery Scott LLC.
- – present · 5 yearsBoca Raton, FL · Adviser representative · Firm CRD 134510
- Janney Montgomery Scott LLC– · under a yearFT. Lauderdale, FL · Adviser representative · Firm CRD 463
Investment adviser representative registrations
Dana Green is registered as an investment adviser representative in 4 states. The first approvals date from August 2021; the most recent is North Carolina, in June 2024.
- FloridaSince 20 August 2021
- MassachusettsSince 14 July 2023
- New JerseySince 2 May 2024
- North CarolinaSince 18 June 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 16 September 2020 |
| Series 63 | Uniform Securities Agent State Law Examination | 13 November 2019 |
| Series 7TO | General Securities Representative Examination | 23 October 2019 |
| SIE | Securities Industry Essentials Examination | 12 September 2019 |
| Series 7 | General Securities Representative Examination | 11 August 1992 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Full name
- Dana Lynn Green
- CRD
- 2237645
- Firm
- Herbert J. Sims Capital Management · CRD 134510
- Office
- 2700 N. MILITARY TRAIL, SUITE 400, Boca Raton, FL 33431
- Registration
- Investment adviser and broker registrations
- In the industry since
- November 2009
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Dana Green work?
Dana Green is an investment adviser representative registered through Herbert J. Sims Capital Management, Inc. since August 2021, and is not listed among the firm’s executive officers or direct owners.
Is Dana Green a financial advisor?
Yes. Dana Green has a current investment-adviser registration in Florida, Massachusetts, New Jersey and North Carolina, through Herbert J. Sims Capital Management since August 2021.
How many years of experience does Dana Green have?
Dana Green has 16 years in the financial industry, since November 2009, across 2 adviser firms.
What exams has Dana Green passed?
Dana Green has passed 5 licensing exams: the Series 7, SIE, Series 7TO, Series 63 and Series 65. The earliest, the Series 7, was passed in August 1992.
Where did Dana Green work before Herbert J. Sims Capital Management?
Before Herbert J. Sims Capital Management, Dana Green was registered through Janney Montgomery Scott LLC, September 2020 to July 2021.
Where is Dana Green based?
Dana Green’s registered office is in Boca Raton, FL.
Is Dana Green registered with FINRA?
Yes. Dana Green has a current broker registration, under CRD 2237645.
Source: FINRA BrokerCheck
How can I verify Dana Green’s record?
Search CRD 2237645 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Dana Green’s full registration record.
