Jason Diamond has been Chief Financial Officer of Herbert J. Sims Capital Management since June 2007, is a control person of the firm and directly owns under 5% of it. Jason Diamond studied at Brooklyn 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.
Jason H. Diamond is Managing Principal and Chief Financial Officer of HJ Sims, based in Fairfield, CT. Before joining the firm he was Chief Financial Officer of The Advest Group and, earlier, President of Signator Investors, Inc., the broker/dealer subsidiary of John Hancock Financial Network. He previously worked at Wall Street Investor Services, advancing from Corporate Controller to Chief Financial Officer, and was a Senior Auditor at Richard A. Eisner and Co.
Jason Diamond’s longest registration is the current one, 11 years at Herbert J. Sims Capital Management since 2014. Before joining Herbert J. Sims Capital Management in 2014, Jason Diamond was registered through Advest, Inc.
- – present · 11 yearsFairfield, CT · Adviser representative · Firm CRD 134510
- Advest, Inc.– · 2 yearsHartford, CT · Adviser representative · Firm CRD 10
Professional designations
Listed by Herbert J. Sims Capital Management
- Certified Public Accountant (CPA)
Investment adviser representative registrations
Jason Diamond is registered as an investment adviser representative in 2 states. The first approvals date from October 2014; the most recent is Puerto Rico, in January 2015.
- ConnecticutSince 23 October 2014
- Puerto RicoSince 21 January 2015
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 8 November 1999 |
| Series 65 | Uniform Investment Adviser Law Examination | 8 January 1999 |
| Series 24 | General Securities Principal Examination | 13 December 1997 |
| Series 7 | General Securities Representative Examination | 26 July 1997 |
| Series 27 | Financial and Operations Principal Examination | 29 June 1993 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Financial and Operations Principal Examination
- Full name
- Jason Howard Diamond
- CRD
- 2320884
- Firm
- Herbert J. Sims Capital Management · CRD 134510
- Role
- Chief Financial Officer
- Office
- 2150 POST ROAD, SUITE 301, Fairfield, CT 06824
- Registration
- Investment adviser and broker registrations
- In the industry since
- September 1995
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- hjsims.com
Where does Jason Diamond work?
Jason Diamond has been Chief Financial Officer of Herbert J. Sims Capital Management, Inc. since June 2007, and is a control person of the firm.
Is Jason Diamond a financial advisor?
Yes. Jason Diamond has a current investment-adviser registration in Connecticut and Puerto Rico, through Herbert J. Sims Capital Management since October 2014.
How many years of experience does Jason Diamond have?
Jason Diamond has 31 years in the financial industry, since September 1995, across 2 adviser firms.
What exams has Jason Diamond passed?
Jason Diamond has passed 6 licensing exams: the Series 27, Series 7, Series 24, Series 65, Series 63 and Series 99TO. The earliest, the Series 27, was passed in June 1993. FINRA credited Jason Diamond with the SIE, which began in October 2018.
Where did Jason Diamond work before Herbert J. Sims Capital Management?
Before Herbert J. Sims Capital Management, Jason Diamond was registered through Advest, Inc., October 2003 to May 2006.
Where is Jason Diamond based?
Jason Diamond’s registered office is in Fairfield, CT.
Is Jason Diamond registered with FINRA?
Yes. Jason Diamond has a current broker registration, under CRD 2320884.
Source: FINRA BrokerCheck
How can I verify Jason Diamond’s record?
Search CRD 2320884 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Jason Diamond’s full registration record.
