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Steven Bae Cho

Herbert J. Sims Capital Management, Inc.

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About Steven Bae Cho

Steven Bae Cho is an Investment Advisor Representative at Herbert J. Sims Capital Management, Inc., a SEC registered investment advisor. Steven is also registered as a Broker in Connecticut and New Jersey. Steven has been working in the financial industry since August 2009. Before joining Herbert J. Sims, Steven worked at David Lerner Associates, Inc. Steven has a Series 65, Series 63, Series 7, and SIE. Steven specializes in Financial Planning and Portfolio Management.

Firm Information

Steven Cho is currently registered with Herbert J. Sims Capital Management, Inc.. Herbert J. Sims Capital Management, Inc. is an investment advisor based in Fairfield, Connecticut. The firm provides portfolio management for individuals and businesses, as well as selection of other advisors. They manage over $146 million in assets for 333 clients, including high-net-worth individuals, charitable organizations, corporations, and individuals. They also participate in wrap fee programs.
Herbert J. Sims Capital Management, Inc.

2150 POST ROAD

FAIRFIELD, CT 06824

$146.68M

Assets Under Management

Not reported

Total Clients

30

Total Financial Advisors

Services Offered

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Steven Cho’s Registration & Firm History

CT

08/23/2021 - Present

Herbert J. Sims Capital Management, Inc. (FAIRFIELD CT)

NJ

08/04/2009 - 02/04/2019

DAVID LERNER ASSOCIATES, INC. (LAWRENCEVILLE NJ)

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Licenses & Designations

IA

Issued 08/06/2021

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/14/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/03/2009

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Steven Bae Cho. Review regulatory record here.
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