CRD #3420 · FINRA BrokerCheck + SEC IAPD

Herbert J. Sims & Co, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Herbert J. Sims & Co, Inc. ranks #679 of 20,055 by disclosure count (most disclosures first). Among firms registered in CT, it ranks #7 of 111 on the same disclosure sort used on the state browse page. Herbert J. Sims & Co, Inc. carries 10 BrokerCheck disclosures across 13 branch offices - moderate load for a regional firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
13
branch offices
10
disclosures
#679 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 3420 Herbert J. Sims & Co, Inc.

Herbert J. Sims & Co, Inc. · Grade B · 10 disc · 0.77/office · Regional firm

  • CRD 3420
  • GRADE B
  • DISC 10
  • REG 8
  • ARB 2
  • CIV 0
  • BRANCH 13
  • PER-OFF 0.77
  • RANK #679 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: Brighton Securities Corp. (0.80 disc/office)

Brighton Securities Corp.0.80VAN Clemens & Co. Incor…0.80Chapin, Davis0.72Herbert J. Sims & C… (this)0.77
Disclosures per office among regional firm peers (lower is cleaner)

Herbert J. Sims & Co, Inc. ranks #679 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.77 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

13 offices

FINRA: Small firm

Total disclosures

10 events

On FINRA BrokerCheck

Regulatory events

8 actions

80% of all disclosures

Disclosures per office

0.77 per office

10 ÷ 13 offices

Herbert J. Sims & Co, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 37% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). This entry sits in this band. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 8
Arbitrations 2
Civil Events 0
Total 10

Counts for Herbert J. Sims & Co, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 8 Arbitration 2 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Fairfield, CT, 06824
Formed
12/12/2012
State of Formation
Delaware
CRD Number
3420
SEC Number
3315

Regulator-heavy mix

Herbert J. Sims & Co, Inc. in the heavier-disclosure third

Herbert J. Sims & Co, Inc. carries 10 BrokerCheck disclosures across 13 branch offices - a heavier-third raw book among graded firms (#679 of 20,055). Regulator-initiated events are 80% of the book (8 regulatory / 2 arbitration / 0 civil).

80% of Herbert J. Sims & Co, Inc.'s 10 disclosures are regulator-initiated (8 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Herbert J. Sims & Co, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Connecticut cohort · 2.83× state average

Herbert J. Sims & Co, Inc. sits above the Connecticut disclosure average

Herbert J. Sims & Co, Inc. reports 10 BrokerCheck disclosures, 2.83× the Connecticut average of 3.5 across 111 graded firms with a principal-office state on file.

In Connecticut, 76 firms carry Grade A and 2 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Connecticut state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Herbert J. Sims & Co, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Herbert J. Sims & Co, Inc. ranks #679 of 20,055 by disclosure count (most disclosures first). Among firms registered in CT, it ranks #7 of 111 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Herbert J. Sims & Co, Inc.?
A grade of B reflects Herbert J. Sims & Co, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 10 total disclosures across 13 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Herbert J. Sims & Co, Inc. have?
Herbert J. Sims & Co, Inc. has 10 total FINRA disclosures, including 8 regulatory events, 2 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Herbert J. Sims & Co, Inc.?
Herbert J. Sims & Co, Inc. operates 13 branch offices and is classified by FINRA as a small firm, registered in CT (Regional firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Herbert J. Sims & Co, Inc.'s disciplinary record?
You can verify Herbert J. Sims & Co, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 3420. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Herbert J. Sims & Co, Inc.'s 10 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Herbert J. Sims & Co, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Herbert J. Sims & Co, Inc. carries 10 disclosures across 13 branch offices (about 0.77 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Herbert J. Sims & Co, Inc., both outside CT so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Brighton Securities Corp. (NY) - 0.80 disclosures/office, nearest regional firm peer to Herbert J. Sims & Co, Inc.'s 0.77
  • VAN Clemens & Co. Incorporated (MN) - 0.80 disclosures/office, nearest regional firm peer to Herbert J. Sims & Co, Inc.'s 0.77
  • Chapin, Davis (MD) - 0.72 disclosures/office, nearest regional firm peer to Herbert J. Sims & Co, Inc.'s 0.77
  • Firms in CT - state roster that includes Herbert J. Sims & Co, Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Herbert J. Sims & Co, Inc..
  • Reading BrokerCheck Reports - How Herbert J. Sims & Co, Inc.'s 0.77 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Herbert J. Sims & Co, Inc..
  • Compare firms - put Herbert J. Sims & Co, Inc. next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.