Elizabeth Sims has been Managing Principal of Herbert J. Sims Capital Management since January 2025, is a control person of the firm and directly owns under 5% of it.
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.
- – present · 7 yearsAustin, TX · Adviser representative · Firm CRD 134510
Investment adviser representative registrations
Elizabeth Sims is registered as an investment adviser representative in 2 states. The first approvals date from July 2019; the most recent is Texas, in January 2024.
- ConnecticutSince 29 July 2019
- TexasSince 31 January 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 9 May 2024 |
| Series 66 | Uniform Combined State Law Examination | 26 July 2019 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 14 September 2016 |
| Series 50 | Municipal Advisor Representative Qualification Exam | 11 February 2016 |
| Series 79 | Investment Banking Registered Representative Examination | 9 February 2015 |
| Series 63 | Uniform Securities Agent State Law Examination | 20 October 2007 |
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Municipal Advisor Representative Qualification Exam
- Name
- Investment Banking Registered Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Elizabeth Barnett Sims
- CRD
- 5000820
- Firm
- Herbert J. Sims Capital Management · CRD 134510
- Role
- Managing Principal
- Office
- 115 Wild Basin Rd, Suite 115, Austin, TX 78701
- Registration
- Investment adviser and broker registrations
- In the industry since
- May 2014
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Elizabeth Sims work?
Elizabeth Sims has been Managing Principal of Herbert J. Sims Capital Management, Inc. since January 2025, and is a control person of the firm.
Is Elizabeth Sims a financial advisor?
Yes. Elizabeth Sims has a current investment-adviser registration in Connecticut and Texas, through Herbert J. Sims Capital Management since July 2019.
How many years of experience does Elizabeth Sims have?
Elizabeth Sims has 12 years in the financial industry, since May 2014, across 1 adviser firm.
What exams has Elizabeth Sims passed?
Elizabeth Sims has passed 6 licensing exams: the Series 63, Series 79, Series 50, Series 7, Series 66 and Series 24. The earliest, the Series 63, was passed in October 2007. FINRA credited Elizabeth Sims with the SIE, which began in October 2018.
Where is Elizabeth Sims based?
Elizabeth Sims’ registered office is in Austin, TX.
Is Elizabeth Sims registered with FINRA?
Yes. Elizabeth Sims has a current broker registration, under CRD 5000820.
Source: FINRA BrokerCheck
How can I verify Elizabeth Sims’ record?
Search CRD 5000820 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Elizabeth Sims’ full registration record.
