Valerie Hebert has been Chief Compliance Officer of Herbert J. Sims Capital Management since September 2019, is a control person of the firm and directly owns under 5% of it.
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.
No adviser firm registrations are on Valerie Hebert’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 57TO | Securities Trader Exam | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 55 | Limited Representative-Equity Trader Exam | 5 December 2001 |
| Series 24 | General Securities Principal Examination | 18 June 2001 |
| Series 63 | Uniform Securities Agent State Law Examination | 2 March 2001 |
| Series 7 | General Securities Representative Examination | 26 December 2000 |
- Name
- Compliance Officer Examination
- Name
- Securities Trader Exam
- Name
- Securities Industry Essentials Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 4007252
- Firm
- Herbert J. Sims Capital Management · CRD 134510
- Role
- Chief Compliance Officer
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Valerie Hebert work?
Valerie Hebert has been Chief Compliance Officer of Herbert J. Sims Capital Management, Inc. since September 2019, and is a control person of the firm.
Does Valerie Hebert have a current investment-adviser registration?
Valerie Hebert has a current broker registration and no current investment-adviser registration.
What exams has Valerie Hebert passed?
Valerie Hebert has passed 6 licensing exams: the Series 7, Series 63, Series 24, Series 55, Series 14 and Series 57TO. The earliest, the Series 7, was passed in December 2000. FINRA credited Valerie Hebert with the SIE, which began in October 2018.
Is Valerie Hebert registered with FINRA?
Yes. Valerie Hebert has a current broker registration, under CRD 4007252.
Source: FINRA BrokerCheck
How can I verify Valerie Hebert’s record?
Search CRD 4007252 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Valerie Hebert’s full registration record.
