Full text of HERBERT J. SIMS & CO, INC.'s X-17A-5 filed 2024-04-02 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-03315 ## ANNUAL REPORTS FORM X-17A-5 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 01/01/2023 AND ENDING 12/31/2023 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION ## NAME OF EIRM: HERBERT J. SIMS & CO., INC. TYPE OF REGISTRANT (check all applicable boxes): = Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) ## 2150 POST ROAD, SUITE 301 | | (No. and Street) | | |----------------------------------------------|--------------------------------|---------------------| | FAIRFIELD | CT | 06824 | | (City) | (State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | JASON DIAMOND (203) 418-9006 | | JDIAMOND@HJSIMS.COM | | (Name) | (Area Code - Telephone Number) | (Email Address) | ## B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* ## APRIO. LLP | | (Name - if individual, state last, first, and middle name) | | | |--------------------------------------------------|------------------------------------------------------------|---------|--------------------------------------------| | 350 5th Ave #3920 | NEW YORK | | 10018 | | (Address) | (City) | (State) | (Zip Code) | | | | | 926 | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | | | | | | \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. {1}------------------------------------------------ ## OATH OR AFFIRMATION | JASON DIAMOND swear (or a man man man swear (or affirm) that, to the best of my knowledge and belief, the . as of financial report pertaining to the firm of HERBERT J. SIMS & CO., INC. 12/31 , 2023 , is true and correct. I further swear…Read the full text as markdown