Unclaimed Profile

Steven Jay Simes

SJS CORPORATION·RIVERSIDE, Connecticut

SIE, Series 6, Series 7, Series 24, Series 26, Series 63, Series 6532 years registeredSJS CORPORATION

1111 E. PUTNAM AVENUE, RIVERSIDE, CT 06878-1355CRD# 2134935Firm CRD# 127466

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Steven Jay Simes · RIVERSIDE, CT

Registration

CRD #2134935 · SJS CORPORATION · 32 years registered

Brand Profile

Not yet started

Career History

WELLS FARGO ADVISORS

Dec 2012 – present

FIRST ALLIED SECURITIES, INC.

Aug 2012 – Aug 2012

RIVERSIDE, CT

CENTAURUS FINANCIAL, INC.

Jan 2000 – Apr 2006

STAMFORD, CT

SJS CORPORATION

Jan 1994 – Dec 2012

RIVERSIDE, CT

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 24

Series 26

Series 63

Series 65

Registration record

First registered · January 3, 1994

Years registered · 32

Disclosure History

2005Customer Dispute·Settled

2001Customer Dispute·Closed-No Action

2001Customer Dispute·Settled

1999Customer Dispute·Settled

1999Employment Separation After Allegations

5 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

SJS CORPORATION

CRD 127466 · SEC 801-62546

AUM

$818M

Regulatory assets under management

Employees

620 client accounts

Services offered by SJS CORPORATION

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at SJS CORPORATION →

Introduction

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Frequently Asked Questions

What services does Steven Jay Simes offer?

Steven Jay Simes specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in RIVERSIDE, Connecticut for a consultation.

What are Steven Jay Simes's credentials?

Steven Jay Simes is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Steven Jay Simes located?

Steven Jay Simes is based in RIVERSIDE, Connecticut, working with SJS CORPORATION. Their office serves clients in the RIVERSIDE metropolitan area and surrounding communities.

How does Steven Jay Simes charge for services?

Steven Jay Simes's firm is compensated through percentage of aum, hourly charges, subscription fees, commissions, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SJS CORPORATION?

SJS CORPORATION has approximately 6 employees and manages $818M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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