Steven Guillotel has been an investment adviser representative at Herbert J. Sims Capital Management since August 2024, 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 Guillotel’s longest registration is the current one, 2 years at Herbert J. Sims Capital Management since 2024. Before joining Herbert J. Sims Capital Management in 2024, Steven Guillotel was registered through Equitable Advisors, LLC.
- – present · 2 yearsBloomington, MN · Adviser representative · Firm CRD 134510
- Equitable Advisors, LLC– · 1 yearMinneapolis, MN · Adviser representative · Firm CRD 6627
Investment adviser representative registrations
Steven Guillotel is registered as an investment adviser representative in Minnesota, since August 2024.
- MinnesotaSince 5 August 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 7TO | General Securities Representative Examination | 1 May 2023 |
| Series 66 | Uniform Combined State Law Examination | 24 February 2023 |
| SIE | Securities Industry Essentials Examination | 21 November 2022 |
- Name
- General Securities Representative Examination
- Name
- Uniform Combined State Law Examination
- Name
- Securities Industry Essentials Examination
- Full name
- Steven Mark Guillotel
- CRD
- 7715346
- Firm
- Herbert J. Sims Capital Management · CRD 134510
- Office
- 8500 Normandale Lake Blvd, Suite 540, Bloomington, MN 55437
- Registration
- Investment adviser and broker registrations
- In the industry since
- May 2023
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Steven Guillotel work?
Steven Guillotel is an investment adviser representative registered through Herbert J. Sims Capital Management, Inc. since August 2024, and is not listed among the firm’s executive officers or direct owners.
Is Steven Guillotel a financial advisor?
Yes. Steven Guillotel has a current investment-adviser registration in Minnesota, through Herbert J. Sims Capital Management since August 2024.
How many years of experience does Steven Guillotel have?
Steven Guillotel has 3 years in the financial industry, since May 2023, across 2 adviser firms.
What exams has Steven Guillotel passed?
Steven Guillotel has passed 3 licensing exams: the SIE, Series 66 and Series 7TO. The earliest, the SIE, was passed in November 2022.
Where did Steven Guillotel work before Herbert J. Sims Capital Management?
Before Herbert J. Sims Capital Management, Steven Guillotel was registered through Equitable Advisors, LLC, May 2023 to July 2024.
Where is Steven Guillotel based?
Steven Guillotel’s registered office is in Bloomington, MN.
Is Steven Guillotel registered with FINRA?
Yes. Steven Guillotel has a current broker registration, under CRD 7715346.
Source: FINRA BrokerCheck
How can I verify Steven Guillotel’s record?
Search CRD 7715346 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Steven Guillotel’s full registration record.
