Timothy Garrettson has been an investment adviser representative at Herbert J. Sims Capital Management since March 2020, 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.
Timothy Garrettson’s longest registration is the current one, 6 years at Herbert J. Sims Capital Management since 2020. Before joining Herbert J. Sims Capital Management in 2020, Timothy Garrettson was registered through Oppenheimer & Co. Inc. and Moors & Cabot, Inc.
- – present · 6 yearsStuart, FL · Adviser representative · Firm CRD 134510
- Oppenheimer & Co. Inc.– · 5 yearsPalm Beach Gardens, FL · Adviser representative · Firm CRD 249
- Moors & Cabot, Inc– · 4 yearsBoca Raton, FL · Adviser representative · Firm CRD 594
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 2 yearsJupiter, FL · Adviser representative · Firm CRD 7691
- Ryan Beck & Co.– · 2 yearsPalm Beach Gardens, FL · Adviser representative · Firm CRD 3248
- Wachovia Securities, LLC– · 1 yearStuart, FL · Adviser representative · Firm CRD 19616
- Prudential Securities Incorporated– · 3 yearsStuart, FL · Adviser representative · Firm CRD 7471
Investment adviser representative registrations
Timothy Garrettson is registered as an investment adviser representative in 5 states. The first approvals date from March 2020; the most recent is New Jersey, in May 2024.
- FloridaSince 16 March 2020
- MarylandSince 19 May 2022
- New JerseySince 2 May 2024
- New YorkSince 19 May 2022
- North CarolinaSince 20 July 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 7 September 1999 |
| Series 24 | General Securities Principal Examination | 4 August 1988 |
| Series 63 | Uniform Securities Agent State Law Examination | 20 October 1982 |
| Series 7 | General Securities Representative Examination | 15 September 1979 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Timothy Patrick Garrettson
- CRD
- 871896
- Firm
- Herbert J. Sims Capital Management · CRD 134510
- Office
- Stuart, FL
- Registration
- Investment adviser and broker registrations
- In the industry since
- September 1979
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Timothy Garrettson work?
Timothy Garrettson is an investment adviser representative registered through Herbert J. Sims Capital Management, Inc. since March 2020, and is not listed among the firm’s executive officers or direct owners.
Is Timothy Garrettson a financial advisor?
Yes. Timothy Garrettson has a current investment-adviser registration in Florida, Maryland, New Jersey, New York and North Carolina, through Herbert J. Sims Capital Management since March 2020.
How many years of experience does Timothy Garrettson have?
Timothy Garrettson has 47 years in the financial industry, since September 1979, across 7 adviser firms.
What exams has Timothy Garrettson passed?
Timothy Garrettson has passed 4 licensing exams: the Series 7, Series 63, Series 24 and Series 65. The earliest, the Series 7, was passed in September 1979. FINRA credited Timothy Garrettson with the SIE, which began in October 2018.
Where did Timothy Garrettson work before Herbert J. Sims Capital Management?
Before Herbert J. Sims Capital Management, Timothy Garrettson was registered through Oppenheimer & Co. Inc., August 2014 to January 2020; Moors & Cabot, Inc, April 2010 to August 2014; Merrill Lynch, Pierce, Fenner & Smith Incorporated, November 2007 to January 2010; Ryan Beck & Co., September 2004 to April 2007; Wachovia Securities, LLC, July 2003 to September 2004; Prudential Securities Incorporated, August 1999 to July 2003.
Where is Timothy Garrettson based?
Timothy Garrettson’s registered office is in Stuart, FL.
Is Timothy Garrettson registered with FINRA?
Yes. Timothy Garrettson has a current broker registration, under CRD 871896.
Source: FINRA BrokerCheck
How can I verify Timothy Garrettson’s record?
Search CRD 871896 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Timothy Garrettson’s full registration record.
