Frank Curcio has been an investment adviser representative at Herbert J. Sims Capital Management since July 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.
Frank Curcio’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, Frank Curcio was registered through Oppenheimer & Co. Inc. and Ameriprise Financial Services, Inc.
- – present · 5 yearsPalm Beach Gardens, FL · Adviser representative · Firm CRD 134510
- Oppenheimer & Co. Inc.– · 3 yearsPalm Beach Gardens, FL · Adviser representative · Firm CRD 249
- Ameriprise Financial Services, Inc.– · 2 yearsPalm Beach Gardens, FL · Adviser representative · Firm CRD 6363
Investment adviser representative registrations
Frank Curcio is registered as an investment adviser representative in 3 states. The first approvals date from July 2021; the most recent is North Carolina, in September 2021.
- ConnecticutSince 8 July 2021
- FloridaSince 26 August 2021
- North CarolinaSince 21 September 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 2 August 2014 |
| Series 7 | General Securities Representative Examination | 3 June 2014 |
| Series 3 | National Commodity Futures Examination | 25 March 1994 |
| Series 63 | Uniform Securities Agent State Law Examination | 24 January 1990 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- National Commodity Futures Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Frank Oscar Curcio
- CRD
- 1333481
- Firm
- Herbert J. Sims Capital Management · CRD 134510
- Office
- 3801 PGA Boulevard, Suite 600, Palm Beach Gardens, FL 33410
- Registration
- Investment adviser and broker registrations
- In the industry since
- December 2011
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Frank Curcio work?
Frank Curcio is an investment adviser representative registered through Herbert J. Sims Capital Management, Inc. since July 2021, and is not listed among the firm’s executive officers or direct owners.
Is Frank Curcio a financial advisor?
Yes. Frank Curcio has a current investment-adviser registration in Connecticut, Florida and North Carolina, through Herbert J. Sims Capital Management since July 2021.
How many years of experience does Frank Curcio have?
Frank Curcio has 14 years in the financial industry, since December 2011, across 3 adviser firms.
What exams has Frank Curcio passed?
Frank Curcio has passed 4 licensing exams: the Series 63, Series 3, Series 7 and Series 66. The earliest, the Series 63, was passed in January 1990. FINRA credited Frank Curcio with the SIE, which began in October 2018.
Where did Frank Curcio work before Herbert J. Sims Capital Management?
Before Herbert J. Sims Capital Management, Frank Curcio was registered through Oppenheimer & Co. Inc., January 2017 to December 2020; Ameriprise Financial Services, Inc., August 2014 to December 2016.
Where is Frank Curcio based?
Frank Curcio’s registered office is in Palm Beach Gardens, FL.
Is Frank Curcio registered with FINRA?
Yes. Frank Curcio has a current broker registration, under CRD 1333481.
Source: FINRA BrokerCheck
How can I verify Frank Curcio’s record?
Search CRD 1333481 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Frank Curcio’s full registration record.
