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John William Koene

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.·FAIRFIELD, Connecticut
SIE, Series 7, Series 24, Series 52TO, Series 53, Series 63Clean recordHERBERT J. SIMS CAPITAL MANAGEMENT, INC.
2150 POST ROAD, FAIRFIELD, CT 06824CRD# 5456931Firm CRD# 134510

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
John William Koene · FAIRFIELD, CT
Registration
CRD #5456931 · HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
Brand Profile
Not yet started
01

Registrations & Exams

FINRA examinations passed
SIE
Series 7
Series 24
Series 52TO
Series 53
Series 63
02

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

03

Firm Overview

Firm
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
CRD 134510 · SEC 801-124853
AUM
$147M
Regulatory assets under management
Employees
30
333 client accounts
Services offered by HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
Per Form ADV
Portfolio management (individuals)
Security ratings or pricing services
Client types served by the firm
Per Form ADV
Individuals
View all advisors at HERBERT J. SIMS CAPITAL MANAGEMENT, INC. →
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Frequently Asked Questions

What services does John William Koene offer?
John William Koene specializes in Investment Management, Fee-Only Advisory. Contact their office in FAIRFIELD, Connecticut for a consultation.
What are John William Koene's credentials?
John William Koene is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is John William Koene located?
John William Koene is based in FAIRFIELD, Connecticut, working with HERBERT J. SIMS CAPITAL MANAGEMENT, INC.. Their office serves clients in the FAIRFIELD metropolitan area and surrounding communities.
How does John William Koene charge for services?
John William Koene's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is HERBERT J. SIMS CAPITAL MANAGEMENT, INC.?
HERBERT J. SIMS CAPITAL MANAGEMENT, INC. has approximately 30 employees and manages $147M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

Jason Howard Diamond
FAIRFIELD, CT
Valerie Hebert
FAIRFIELD, CT
Jonathan David Jarow
FAIRFIELD, CT
William Barnett Sims
FAIRFIELD, CT

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