Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stacy? Claim Your ProfileStacy Goldsmith is a registered investment advisor representative with Herbert J. Sims Capital Management, Inc. Stacy specializes in providing customized investment management services to high-net-worth individuals, trusts, estates, pension and profit-sharing plans, and other legal entities. Stacy has been with Herbert J. Sims Capital Management, Inc. since 2012 and previously worked at several other financial firms. Stacy holds Series 7, Series 24, Series 53, and Series 66 licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
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2
NJ
03/20/2020 - Present
Herbert J. Sims Capital Management, Inc. (Red Bank NJ)
NY
12/15/2008 - 03/02/2012
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
09/01/2004 - 12/31/2008
GLEN RAUCH SECURITIES, INC. (NEW YORK NY)
NJ
10/20/2003 - 08/30/2004
W. H. MELL ASSOCIATES, INC. (SUMMIT NJ)
CA
05/01/2002 - 10/20/2003
WM FINANCIAL SERVICES, INC. (IRVINE CA)
NY
04/24/2001 - 05/01/2002
DIME SECURITIES, INC. (BROOKLYN NY)
MO
10/01/2000 - 05/22/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
02/16/1996 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NJ
10/05/1993 - 01/03/1996
FIRST FIDELITY BROKERS, INC. (NEWARK NJ)
NJ
05/08/1990 - 10/13/1992
FIRST INSTITUTIONAL SECURITIES CORP. (WEST PATERSON NJ)
NA
05/07/1990 - 03/25/1992
BROADWAY FINANCIAL INVESTMENT SERVICES CORP.
NJ
03/26/1990 - 05/08/1990
R. SEELAUS & CO.,INC. (CHATHAM NJ)
PA
10/23/1989 - 03/14/1990
COMMONWEALTH SECURITIES AND INVESTMENTS, INC. (PITTSBURGH PA)
NA
10/22/1985 - 07/25/1989
DISCOUNT CORPORATION OF NEW YORK MUNICIPALS
BOTH
Issued 08/25/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/26/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/16/2000
Series 24 - General Securities Principal Examination
BC
Issued 08/30/1996
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/19/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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