Nicholas Squitieri has been an investment adviser representative at Herbert J. Sims Capital Management since February 2020, 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 · 6 yearsFairfield, CT · Adviser representative · Firm CRD 134510
Investment adviser representative registrations
Nicholas Squitieri is registered as an investment adviser representative in Connecticut, since February 2020.
- ConnecticutSince 19 February 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 25 September 2025 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 66 | Uniform Combined State Law Examination | 18 February 2020 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 4 August 2011 |
| Series 27 | Financial and Operations Principal Examination | 25 January 2011 |
| Series 53 | Municipal Securities Principal Examination | 27 April 1998 |
| Series 63 | Uniform Securities Agent State Law Examination | 8 November 1994 |
| Series 7 | General Securities Representative Examination | 19 October 1994 |
- Name
- Municipal Securities Representative Examination
- Name
- Operations Professional Examination
- Name
- Uniform Combined State Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Financial and Operations Principal Examination
- Name
- Municipal Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 2436788
- Firm
- Herbert J. Sims Capital Management · CRD 134510
- Office
- 2150 POST ROAD, SUITE 301, Fairfield, CT 06824
- Registration
- Investment adviser and broker registrations
- In the industry since
- November 1996
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Nicholas Squitieri work?
Nicholas Squitieri is an investment adviser representative registered through Herbert J. Sims Capital Management, Inc. since February 2020, and is not listed among the firm’s executive officers or direct owners.
Is Nicholas Squitieri a financial advisor?
Yes. Nicholas Squitieri has a current investment-adviser registration in Connecticut, through Herbert J. Sims Capital Management since February 2020.
How many years of experience does Nicholas Squitieri have?
Nicholas Squitieri has 29 years in the financial industry, since November 1996, across 1 adviser firm.
What exams has Nicholas Squitieri passed?
Nicholas Squitieri has passed 8 licensing exams: the Series 7, Series 63, Series 53, Series 27, Series 24, Series 66, Series 99TO and Series 52TO. The earliest, the Series 7, was passed in October 1994. FINRA credited Nicholas Squitieri with the SIE, which began in October 2018.
Where is Nicholas Squitieri based?
Nicholas Squitieri’s registered office is in Fairfield, CT.
Is Nicholas Squitieri registered with FINRA?
Yes. Nicholas Squitieri has a current broker registration, under CRD 2436788.
Source: FINRA BrokerCheck
How can I verify Nicholas Squitieri’s record?
Search CRD 2436788 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Nicholas Squitieri’s full registration record.
