Mary McFliker has been an investment adviser representative at Herbert J. Sims Capital Management since April 2025, 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.
- – present · 1 yearBoca Raton, FL · Adviser representative · Firm CRD 134510
Investment adviser representative registrations
Mary McFliker is registered as an investment adviser representative in Florida, since April 2025.
- FloridaSince 7 April 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 2 April 2025 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 16 October 1997 |
| Series 62 | Corporate Securities Limited Representative Examination | 29 October 1996 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Corporate Securities Limited Representative Examination
- Full name
- Mary Ellen McFliker
- CRD
- 2366968
- 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
- October 1998
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Mary McFliker work?
Mary McFliker is an investment adviser representative registered through Herbert J. Sims Capital Management, Inc. since April 2025, and is not listed among the firm’s executive officers or direct owners.
Is Mary McFliker a financial advisor?
Yes. Mary McFliker has a current investment-adviser registration in Florida, through Herbert J. Sims Capital Management since April 2025.
How many years of experience does Mary McFliker have?
Mary McFliker has 28 years in the financial industry, since October 1998, across 1 adviser firm.
What exams has Mary McFliker passed?
Mary McFliker has passed 3 licensing exams: the Series 62, Series 63 and Series 65. The earliest, the Series 62, was passed in October 1996. FINRA credited Mary McFliker with the SIE, which began in October 2018.
Where is Mary McFliker based?
Mary McFliker’s registered office is in Boca Raton, FL.
Is Mary McFliker registered with FINRA?
Yes. Mary McFliker has a current broker registration, under CRD 2366968.
Source: FINRA BrokerCheck
How can I verify Mary McFliker’s record?
Search CRD 2366968 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Mary McFliker’s full registration record.
