Philip Pike has been an investment adviser representative at Herbert J. Sims Capital Management since January 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.
Philip Pike’s longest registration was 7 years at Merrill Lynch, Pierce, Fenner & Smith Incorporated (2009–2017). Before joining Herbert J. Sims Capital Management in 2025, Philip Pike was registered through Stoever Glass Wealth Management, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
- – present · 1 yearBoca Raton, FL · Adviser representative · Firm CRD 134510
- Stoever Glass Wealth Management, Inc.– · 7 yearsboca raton, FL · Adviser representative · Firm CRD 173091
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 7 yearsBoca Raton, FL · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
Philip Pike is registered as an investment adviser representative in Florida, since January 2025.
- FloridaSince 17 January 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 16 October 2009 |
| Series 7 | General Securities Representative Examination | 23 September 2009 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Philip A Pike
- CRD
- 5695273
- 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
- September 2009
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Philip Pike work?
Philip Pike is an investment adviser representative registered through Herbert J. Sims Capital Management, Inc. since January 2025, and is not listed among the firm’s executive officers or direct owners.
Is Philip Pike a financial advisor?
Yes. Philip Pike has a current investment-adviser registration in Florida, through Herbert J. Sims Capital Management since January 2025.
How many years of experience does Philip Pike have?
Philip Pike has 17 years in the financial industry, since September 2009, across 3 adviser firms.
What exams has Philip Pike passed?
Philip Pike has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in September 2009. FINRA credited Philip Pike with the SIE, which began in October 2018.
Where did Philip Pike work before Herbert J. Sims Capital Management?
Before Herbert J. Sims Capital Management, Philip Pike was registered through Stoever Glass Wealth Management, Inc., August 2017 to January 2025; Merrill Lynch, Pierce, Fenner & Smith Incorporated, November 2009 to August 2017.
Where is Philip Pike based?
Philip Pike’s registered office is in Boca Raton, FL.
Is Philip Pike registered with FINRA?
Yes. Philip Pike has a current broker registration, under CRD 5695273.
Source: FINRA BrokerCheck
How can I verify Philip Pike’s record?
Search CRD 5695273 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Philip Pike’s full registration record.
