Steven Cho has been an investment adviser representative at Herbert J. Sims Capital Management since August 2021, 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.
Steven Cho is Senior Vice President of HJ Sims, based in Red Bank, NJ. He began his professional career as an intern at Smith Barney in Bethesda, MD, and continued in the industry as a consultant. He then spent 15 years in telecommunication network design before returning to investing.
- – present · 5 yearsREd Bank, NJ · Adviser representative · Firm CRD 134510
Investment adviser representative registrations
Steven Cho is registered as an investment adviser representative in 2 states. Each was approved in August 2021.
- ConnecticutSince 18 August 2021
- New JerseySince 23 August 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 6 August 2021 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 14 August 2009 |
| Series 7 | General Securities Representative Examination | 3 August 2009 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Steven Bae Cho
- CRD
- 2610257
- Firm
- Herbert J. Sims Capital Management · CRD 134510
- Office
- 331 Newman Springs Road, Building 2, Suite 312- 3rd Floor, REd Bank, NJ 07701
- Registration
- Investment adviser and broker registrations
- In the industry since
- August 2009
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- hjsims.com
Where does Steven Cho work?
Steven Cho is an investment adviser representative registered through Herbert J. Sims Capital Management, Inc. since August 2021, and is not listed among the firm’s executive officers or direct owners.
Is Steven Cho a financial advisor?
Yes. Steven Cho has a current investment-adviser registration in Connecticut and New Jersey, through Herbert J. Sims Capital Management since August 2021.
How many years of experience does Steven Cho have?
Steven Cho has 17 years in the financial industry, since August 2009, across 1 adviser firm.
What exams has Steven Cho passed?
Steven Cho has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in August 2009. FINRA credited Steven Cho with the SIE, which began in October 2018.
Where is Steven Cho based?
Steven Cho’s registered office is in REd Bank, NJ.
Is Steven Cho registered with FINRA?
Yes. Steven Cho has a current broker registration, under CRD 2610257.
Source: FINRA BrokerCheck
How can I verify Steven Cho’s record?
Search CRD 2610257 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Steven Cho’s full registration record.
