John Koene has been Managing Director of Herbert J. Sims Capital Management since October 2022, 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.
John Koene is Managing Director of HJ Sims, based in Fairfield, CT and Red Bank, NJ. He oversees the private client financial professionals for the northeast complex, including the Fairfield, CT and Red Bank, New Jersey offices. He has more than a decade of experience in the financial industry, in roles including Assistant Manager and Senior Vice President/Branch Manager, and earlier worked in the retail and wholesale mortgage industries, including as Regional Sales Manager.
No adviser firm registrations are on John Koene’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| Series 53 | Municipal Securities Principal Examination | 7 November 2018 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 14 March 2008 |
| Series 24 | General Securities Principal Examination | 7 February 2008 |
| Series 7 | General Securities Representative Examination | 4 January 2008 |
- Name
- Municipal Securities Representative Examination
- Name
- Municipal Securities Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Full name
- John William Koene
- CRD
- 5456931
- Firm
- Herbert J. Sims Capital Management · CRD 134510
- Role
- Managing Director
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- hjsims.com
Where does John Koene work?
John Koene has been Managing Director of Herbert J. Sims Capital Management, Inc. since October 2022, and is a control person of the firm.
Does John Koene have a current investment-adviser registration?
John Koene has a current broker registration and no current investment-adviser registration.
What exams has John Koene passed?
John Koene has passed 5 licensing exams: the Series 7, Series 24, Series 63, Series 53 and Series 52TO. The earliest, the Series 7, was passed in January 2008. FINRA credited John Koene with the SIE, which began in October 2018.
Is John Koene registered with FINRA?
Yes. John Koene has a current broker registration, under CRD 5456931.
Source: FINRA BrokerCheck
How can I verify John Koene’s record?
Search CRD 5456931 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish John Koene’s full registration record.
