Shane Appelbaum has been an investment adviser representative at Herbert J. Sims Capital Management since March 2017, 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.
Shane Appelbaum is Director - Investments and Private Wealth Advisor of HJ Sims, based in Boca Raton, FL. He has spent his career at HJ Sims with more than two decades of industry experience. He focuses on income generation and growth strategies, helping clients build portfolios that support their spending needs while investing for the future.
- – present · 9 yearsBoca Raton, FL · Adviser representative · Firm CRD 134510
Investment adviser representative registrations
Shane Appelbaum is registered as an investment adviser representative in 8 states, as a resident of Texas. The first approvals date from March 2017; the most recent is Massachusetts, in July 2023.
- ConnecticutSince 14 June 2023
- FloridaSince 8 March 2017
- MarylandSince 19 May 2022
- MassachusettsSince 14 July 2023
- New JerseySince 15 June 2023
- New YorkSince 24 May 2022
- North CarolinaSince 2 December 2022
- TexasResidentSince 6 May 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 28 February 2017 |
| Series 63 | Uniform Securities Agent State Law Examination | 7 May 2004 |
| Series 7 | General Securities Representative Examination | 22 March 2004 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Shane Alexander Appelbaum
- CRD
- 4772668
- 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
- March 2004
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- hjsims.com
Where does Shane Appelbaum work?
Shane Appelbaum is an investment adviser representative registered through Herbert J. Sims Capital Management, Inc. since March 2017, and is not listed among the firm’s executive officers or direct owners.
Is Shane Appelbaum a financial advisor?
Yes. Shane Appelbaum has a current investment-adviser registration in Connecticut, Florida, Maryland, Massachusetts, New Jersey, New York, North Carolina and Texas, through Herbert J. Sims Capital Management since March 2017.
How many years of experience does Shane Appelbaum have?
Shane Appelbaum has 22 years in the financial industry, since March 2004, across 1 adviser firm.
What exams has Shane Appelbaum passed?
Shane Appelbaum has passed 3 licensing exams: the Series 7, Series 63 and Series 66. The earliest, the Series 7, was passed in March 2004. FINRA credited Shane Appelbaum with the SIE, which began in October 2018.
Where is Shane Appelbaum based?
Shane Appelbaum’s registered office is in Boca Raton, FL.
Is Shane Appelbaum registered with FINRA?
Yes. Shane Appelbaum has a current broker registration, under CRD 4772668.
Source: FINRA BrokerCheck
How can I verify Shane Appelbaum’s record?
Search CRD 4772668 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Shane Appelbaum’s full registration record.
