Daniel Mullane has been an investment adviser representative at Herbert J. Sims Capital Management since January 2015, and is not listed among the firm’s executive officers or direct owners. Daniel Mullane holds a B.S. from Charter Oak State College.
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.
Daniel J. Mullane is Managing Principal of HJ Sims, based in Fairfield, CT. He is the former Chairman, Chief Executive Officer and President of The Advest Group, Inc., a New England based NYSE member firm with brokerage and trust banking operations. He joined Advest in 1991, was named president of the firm in 2003 and took on the additional roles of chief executive officer and chairman in 2004.
Daniel Mullane’s longest registration is the current one, 11 years at Herbert J. Sims Capital Management since 2015. Before joining Herbert J. Sims Capital Management in 2015, Daniel Mullane was registered through Merrill Lynch Pierce Fenner & Smith Inc. and Advest, Inc.
- – present · 11 yearsFairfield, CT · Adviser representative · Firm CRD 134510
- Merrill Lynch Pierce Fenner & Smith Inc.– · under a yearHartford, CT · Adviser representative · Firm CRD 7691
- Advest, Inc.– · 6 yearsHartford, CT · Adviser representative · Firm CRD 10
Investment adviser representative registrations
Daniel Mullane is registered as an investment adviser representative in Connecticut, since January 2015.
- ConnecticutSince 16 January 2015
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 3 | National Commodity Futures Examination | 4 April 2014 |
| Series 65 | Uniform Investment Adviser Law Examination | 20 May 1994 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 30 March 1989 |
| Series 63 | Uniform Securities Agent State Law Examination | 23 March 1984 |
| Series 7 | General Securities Representative Examination | 17 March 1984 |
- Name
- General Securities Principal Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- National Commodity Futures Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Daniel Joseph Mullane
- CRD
- 1246435
- Firm
- Herbert J. Sims Capital Management · CRD 134510
- Office
- 2150 POST ROAD, SUITE 301, Fairfield, CT 06824
- Registration
- Investment adviser and broker registrations
- In the industry since
- October 1986
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- hjsims.com
Where does Daniel Mullane work?
Daniel Mullane is an investment adviser representative registered through Herbert J. Sims Capital Management, Inc. since January 2015, and is not listed among the firm’s executive officers or direct owners.
Is Daniel Mullane a financial advisor?
Yes. Daniel Mullane has a current investment-adviser registration in Connecticut, through Herbert J. Sims Capital Management since January 2015.
How many years of experience does Daniel Mullane have?
Daniel Mullane has 40 years in the financial industry, since October 1986, across 3 adviser firms.
What exams has Daniel Mullane passed?
Daniel Mullane has passed 7 licensing exams: the Series 7, Series 63, Series 8, Series 65, Series 3, Series 24 and Series 99TO. The earliest, the Series 7, was passed in March 1984. FINRA credited Daniel Mullane with the SIE, which began in October 2018.
Where did Daniel Mullane work before Herbert J. Sims Capital Management?
Before Herbert J. Sims Capital Management, Daniel Mullane was registered through Merrill Lynch Pierce Fenner & Smith Inc., June 2006 to August 2006; Advest, Inc., March 1999 to March 2006.
Where is Daniel Mullane based?
Daniel Mullane’s registered office is in Fairfield, CT.
Is Daniel Mullane registered with FINRA?
Yes. Daniel Mullane has a current broker registration, under CRD 1246435.
Source: FINRA BrokerCheck
How can I verify Daniel Mullane’s record?
Search CRD 1246435 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Daniel Mullane’s full registration record.
