Karen Degro

Herbert J. Sims Capital Management, INC.

19 Years of Experience

18 DisclosuresBroker

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

2700 N Military Trail Suite 400, Boca Raton, FL, 33431

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History

Regulatory History (18)

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.

Regulatory

February 2024

Final

Customer Dispute

December 2019

Settled

Customer Dispute

July 2019

Settled

Customer Dispute

May 2019

Settled

Customer Dispute

April 2019

Settled

Customer Dispute

March 2019

Settled

Customer Dispute

March 2019

Settled

Customer Dispute

August 2018

Settled

Customer Dispute

June 2018

Settled

Customer Dispute

February 2018

Settled

Customer Dispute

December 2017

Settled

Customer Dispute

May 2017

Settled

Customer Dispute

May 2016

Settled

Customer Dispute

October 2015

Settled

Customer Dispute

September 2015

Settled

Customer Dispute

October 2014

Settled

Customer Dispute

October 2014

Settled

Customer Dispute

July 2014

Settled

View Full SEC Report How to Read Disclosures

Other Business Activities

Karen is an investment adviser representative of HJ Sims Capital Management, dedicating approximately 80% of her time to this role. The filing does not mention any other business activities.