Peter Dee has been an investment adviser representative at Herbert J. Sims Capital Management since January 2008, 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.
Peter Dee’s longest registration is the current one, 18 years at Herbert J. Sims Capital Management since 2008. Before joining Herbert J. Sims Capital Management in 2008, Peter Dee was registered through Alliancebernstein L.P. and American Money Management, LLC.
- – present · 18 yearsFairfield, CT · Adviser representative · Firm CRD 134510
- Alliancebernstein L.P.– · under a yearNew York, NY · Adviser representative · Firm CRD 108477
- American Money Management, LLC– · 1 yearRancho Santa Fe, CA · Adviser representative · Firm CRD 115357
Investment adviser representative registrations
Peter Dee is registered as an investment adviser representative in Connecticut, since January 2008.
- ConnecticutSince 9 January 2008
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 14 September 2007 |
| Series 7 | General Securities Representative Examination | 10 July 2007 |
| Series 65 | Uniform Investment Adviser Law Examination | 29 March 2005 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Peter Julian Dee
- CRD
- 4982628
- 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
- January 2006
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Peter Dee work?
Peter Dee is an investment adviser representative registered through Herbert J. Sims Capital Management, Inc. since January 2008, and is not listed among the firm’s executive officers or direct owners.
Is Peter Dee a financial advisor?
Yes. Peter Dee has a current investment-adviser registration in Connecticut, through Herbert J. Sims Capital Management since January 2008.
How many years of experience does Peter Dee have?
Peter Dee has 20 years in the financial industry, since January 2006, across 3 adviser firms.
What exams has Peter Dee passed?
Peter Dee has passed 3 licensing exams: the Series 65, Series 7 and Series 63. The earliest, the Series 65, was passed in March 2005. FINRA credited Peter Dee with the SIE, which began in October 2018.
Where did Peter Dee work before Herbert J. Sims Capital Management?
Before Herbert J. Sims Capital Management, Peter Dee was registered through Alliancebernstein L.P., May 2007 to December 2007; American Money Management, LLC, June 2005 to October 2006.
Where is Peter Dee based?
Peter Dee’s registered office is in Fairfield, CT.
Is Peter Dee registered with FINRA?
Yes. Peter Dee has a current broker registration, under CRD 4982628.
Source: FINRA BrokerCheck
How can I verify Peter Dee’s record?
Search CRD 4982628 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Peter Dee’s full registration record.
