TrueAdvisor
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CA
CA

Carlos Ruben Alvarado

Herbert J. Sims Capital Management, INC.
40 Years of Experience
30 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary
Areas of Practice
Investment ManagementRetirement PlanningEstate PlanningHigh Net Worth
Herbert J. Sims Capital Management, INC.
Compensation
Fee-Only (AUM)
Firm Size
38 advisors
Number of Clients
221 clients
Average Client Portfolio
$845K average
Assets Under Management
$186.8M

Fee Structure

Minimum Investment:$50K

Location

2150 Post Road, Suite 301, Fairfield, CT, 06824

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History

Regulatory History (30)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2020
Settled
Customer Dispute
August 2019
Settled
Customer Dispute
June 2019
Settled
Customer Dispute
May 2019
Settled
Customer Dispute
April 2019
Settled
Customer Dispute
April 2019
Settled
Customer Dispute
April 2019
Settled
Customer Dispute
March 2019
Settled
Customer Dispute
October 2018
Settled
Customer Dispute
September 2018
Settled
Customer Dispute
August 2018
Settled
Customer Dispute
August 2018
Settled
Customer Dispute
July 2018
Settled
Customer Dispute
July 2018
Settled
Customer Dispute
May 2018
Settled
Customer Dispute
February 2018
Settled
Customer Dispute
January 2018
Settled
Customer Dispute
December 2017
Settled
Customer Dispute
August 2017
Settled
Customer Dispute
May 2017
Settled
Customer Dispute
November 2016
Settled
Customer Dispute
June 2016
Closed-No Action
Customer Dispute
April 2016
Settled
Customer Dispute
April 2016
Settled
Customer Dispute
November 2015
Settled
Customer Dispute
May 2015
Settled
Customer Dispute
November 2014
Settled
Customer Dispute
May 2014
Settled
Customer Dispute
December 2013
Denied
Customer Dispute
May 2013
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Carlos is an investment adviser representative of HJ Sims Capital Management, dedicating about 20% of his time to this role. He also spends about 10% of his time on insurance activities, while his primary business involves providing brokerage services.

Employment History
Current Registrations
Herbert J. Sims Capital Management, INC.
April 2016 - Present · 9 yrs 10 mos
Herbert J. Sims & CO, INC.
March 2016 - Present · 9 yrs 11 mos
Herbert J. Sims & CO, INC.Broker
March 2016 - Present · 9 yrs 11 mos
Previous Registrations
Santander Securities
March 2010 - February 2016 · 5 yrs 11 mos
Santander Securities LLCBroker
February 2000 - February 2016 · 16 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1985 - February 2000 · 15 yrs 1 mo
State Registrations6 states
AZFLMDNJPRTX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Carlos Ruben Alvarado - Financial Advisor | TrueAdvisor