Daniel Joseph Mullane

Herbert J. Sims Capital Management, INC.

39 Years of Experience

Broker

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

Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Other Business Activities

Daniel is a member of Killingworth Investors LLC, an equity investment firm focused on growth industries. He spends minimal time reading, assessing, and offering opinions related to the LLC's investments.

Employment History

Current Registrations

Herbert J. Sims Capital Management, INC.

January 2015 - Present · 11 yrs 1 mo

Herbert J. Sims & CO, INC.

November 2009 - Present · 16 yrs 3 mos

Herbert J. Sims & CO, INC.Broker

November 2009 - Present · 16 yrs 3 mos

Previous Registrations

Sound Securities, LLCBroker

September 2008 - November 2009 · 1 yr 2 mos

Merrill Lynch Pierce Fenner & Smith INC.

June 2006 - August 2006 · 2 mos

Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker

June 2006 - August 2006 · 2 mos

Advest, INC.

March 1999 - March 2006 · 7 yrs

Advest, INC.Broker

September 1991 - March 2006 · 14 yrs 6 mos

National Capital Investment Partners, INC.Broker

July 1990 - September 1991 · 1 yr 2 mos

Shearson Lehman Hutton INC.Broker

March 1984 - March 1990 · 6 yrs

State Registrations5 states

CTFLMNNJPR

AdvisorBrokerBoth

Exams

No exam information available for this advisor.