Sean Lalljee has been an investment adviser representative at Herbert J. Sims Capital Management since November 2022, 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.
Sean Lalljee’s longest registration was 17 years at Wells Fargo Clearing Services, LLC (2005–2022). Before joining Herbert J. Sims Capital Management in 2022, Sean Lalljee was registered through Wells Fargo Clearing Services, LLC.
- – present · 3 yearsRed Bank, NJ · Adviser representative · Firm CRD 134510
- Wells Fargo Clearing Services, LLC– · 17 yearsWestfield, NJ · Adviser representative · Firm CRD 19616
Investment adviser representative registrations
Sean Lalljee is registered as an investment adviser representative in 4 states. The first approvals date from November 2022; the most recent is Florida, in August 2023.
- ConnecticutSince 2 November 2022
- FloridaSince 28 August 2023
- New JerseySince 3 November 2022
- New YorkSince 3 November 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 10 | General Securities Sales Supervisor - General Module Examination | 19 June 2019 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 19 June 2019 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 21 February 2005 |
| Series 63 | Uniform Securities Agent State Law Examination | 15 October 1998 |
| Series 7 | General Securities Representative Examination | 12 September 1998 |
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Sean McGordan Lalljee
- CRD
- 3112655
- Firm
- Herbert J. Sims Capital Management · CRD 134510
- Office
- 331 Newman Springs Rd, Building 2, Suite 312, Red Bank, NJ 07701
- Registration
- Investment adviser and broker registrations
- In the industry since
- September 1998
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Sean Lalljee work?
Sean Lalljee is an investment adviser representative registered through Herbert J. Sims Capital Management, Inc. since November 2022, and is not listed among the firm’s executive officers or direct owners.
Is Sean Lalljee a financial advisor?
Yes. Sean Lalljee has a current investment-adviser registration in Connecticut, Florida, New Jersey and New York, through Herbert J. Sims Capital Management since November 2022.
How many years of experience does Sean Lalljee have?
Sean Lalljee has 28 years in the financial industry, since September 1998, across 2 adviser firms.
What exams has Sean Lalljee passed?
Sean Lalljee has passed 5 licensing exams: the Series 7, Series 63, Series 65, Series 10 and Series 9. The earliest, the Series 7, was passed in September 1998. FINRA credited Sean Lalljee with the SIE, which began in October 2018.
Where is Sean Lalljee based?
Sean Lalljee’s registered office is in Red Bank, NJ.
Is Sean Lalljee registered with FINRA?
Yes. Sean Lalljee has a current broker registration, under CRD 3112655.
Source: FINRA BrokerCheck
How can I verify Sean Lalljee’s record?
Search CRD 3112655 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Sean Lalljee’s full registration record.
