Karen Degro has been an investment adviser representative at Herbert J. Sims Capital Management since October 2023, 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.
Karen Degro’s longest registration was 7 years at UBS Financial Services Inc. (2016–2023). Before joining Herbert J. Sims Capital Management in 2023, Karen Degro was registered through UBS Financial Services Inc.
- – present · 3 yearsBoca Raton, FL · Adviser representative · Firm CRD 134510
- UBS Financial Services Inc.– · 7 yearsPalo Alto, CA · Adviser representative · Firm CRD 8174
Investment adviser representative registrations
Karen Degro is registered as an investment adviser representative in 2 states. The first approvals date from October 2023; the most recent is Florida, in February 2024.
- FloridaSince 20 February 2024
- Puerto RicoSince 17 October 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 29 April 2016 |
| Series 66 | Uniform Combined State Law Examination | 11 January 2006 |
| Series 7 | General Securities Representative Examination | 23 December 2005 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 5048237
- Firm
- Herbert J. Sims Capital Management · CRD 134510
- Office
- 2700 N Military Trail Suite 400, Boca Raton, FL 33431
- Registration
- Investment adviser and broker registrations
- In the industry since
- December 2005
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Karen Degro work?
Karen Degro is an investment adviser representative registered through Herbert J. Sims Capital Management, Inc. since October 2023, and is not listed among the firm’s executive officers or direct owners.
Is Karen Degro a financial advisor?
Yes. Karen Degro has a current investment-adviser registration in Florida and Puerto Rico, through Herbert J. Sims Capital Management since October 2023.
How many years of experience does Karen Degro have?
Karen Degro has 20 years in the financial industry, since December 2005, across 2 adviser firms.
What exams has Karen Degro passed?
Karen Degro has passed 3 licensing exams: the Series 7, Series 66 and Series 65. The earliest, the Series 7, was passed in December 2005. FINRA credited Karen Degro with the SIE, which began in October 2018.
Where did Karen Degro work before Herbert J. Sims Capital Management?
Before Herbert J. Sims Capital Management, Karen Degro was registered through UBS Financial Services Inc., April 2016 to October 2023.
Where is Karen Degro based?
Karen Degro’s registered office is in Boca Raton, FL.
Is Karen Degro registered with FINRA?
Yes. Karen Degro has a current broker registration, under CRD 5048237.
Source: FINRA BrokerCheck
How can I verify Karen Degro’s record?
Search CRD 5048237 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Karen Degro’s full registration record.
