Steven Sapirstein has been an investment adviser representative at Herbert J. Sims Capital Management since February 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.
Steven Sapirstein’s longest registration was 9 years at Citigroup Global Markets Inc. (1999–2009). Before joining Herbert J. Sims Capital Management in 2025, Steven Sapirstein was registered through Stoever Glass Wealth Management, Inc. and Janney Montgomery Scott LLC.
- – present · 1 yearBoca Raton, FL · Adviser representative · Firm CRD 134510
- Stoever Glass Wealth Management, Inc.– · 8 yearsNew York, NY · Adviser representative · Firm CRD 173091
- Janney Montgomery Scott LLC– · 3 yearsBoca Raton, FL · Adviser representative · Firm CRD 463
- Raymond James & Associates, Inc.– · 1 yearBoca Raton, FL · Adviser representative · Firm CRD 705
- Morgan Stanley Smith Barney LLC– · 2 yearsBoca Raton, FL · Adviser representative · Firm CRD 149777
- Citigroup Global Markets Inc.– · 9 yearsBoca Raton, FL · Adviser representative · Firm CRD 7059
Investment adviser representative registrations
Steven Sapirstein is registered as an investment adviser representative in Florida, since February 2025.
- FloridaSince 11 February 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 2 January 2023 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 3 | National Commodity Futures Examination | 27 March 1996 |
| Series 65 | Uniform Investment Adviser Law Examination | 26 February 1996 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 16 May 1994 |
| Series 31 | Futures Managed Funds Examination | 21 June 1993 |
| Series 63 | Uniform Securities Agent State Law Examination | 9 July 1990 |
| Series 7 | General Securities Representative Examination | 16 June 1990 |
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- Securities Industry Essentials Examination
- Name
- National Commodity Futures Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- Futures Managed Funds Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Steven Charles Sapirstein
- CRD
- 2014526
- 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
- June 1990
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Steven Sapirstein work?
Steven Sapirstein is an investment adviser representative registered through Herbert J. Sims Capital Management, Inc. since February 2025, and is not listed among the firm’s executive officers or direct owners.
Is Steven Sapirstein a financial advisor?
Yes. Steven Sapirstein has a current investment-adviser registration in Florida, through Herbert J. Sims Capital Management since February 2025.
How many years of experience does Steven Sapirstein have?
Steven Sapirstein has 36 years in the financial industry, since June 1990, across 6 adviser firms.
What exams has Steven Sapirstein passed?
Steven Sapirstein has passed 8 licensing exams: the Series 7, Series 63, Series 31, Series 8, Series 65, Series 3, Series 9 and Series 10. The earliest, the Series 7, was passed in June 1990. FINRA credited Steven Sapirstein with the SIE, which began in October 2018.
Where did Steven Sapirstein work before Herbert J. Sims Capital Management?
Before Herbert J. Sims Capital Management, Steven Sapirstein was registered through Stoever Glass Wealth Management, Inc., October 2016 to February 2025; Janney Montgomery Scott LLC, July 2013 to September 2016; Raymond James & Associates, Inc., January 2012 to July 2013; Morgan Stanley Smith Barney LLC, June 2009 to January 2012; Citigroup Global Markets Inc., August 1999 to June 2009.
Where is Steven Sapirstein based?
Steven Sapirstein’s registered office is in Boca Raton, FL.
Is Steven Sapirstein registered with FINRA?
Yes. Steven Sapirstein has a current broker registration, under CRD 2014526.
Source: FINRA BrokerCheck
How can I verify Steven Sapirstein’s record?
Search CRD 2014526 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Steven Sapirstein’s full registration record.
