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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

STEVEN CHARLES SAPIRSTEIN

Advisor at HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

FAIRFIELD, CT | Boca Raton, FL

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Search this name across graphsid dfx:ria:87fd4e9f-fba6-5ef2-5d73-603ff6a93c48

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Aug 2, 1999 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 9, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jul 9, 1990
First registration: Aug 2, 1999
Dual registered: yes, broker-dealer
Other names: STEVEN SAPIRSTEIN
IAPD individual key: 2014526

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.	Independent wealth	Feb 11, 2025	n/a	yes	Boca Raton, FL\|FAIRFIELD, CT	Current employment
STOEVER GLASS WEALTH MANAGEMENT, INC.	Former SEC adviser	Oct 20, 2016	Feb 7, 2025	no	boca raton, FL\|NEW YORK, NY	Previous registration
JANNEY MONTGOMERY SCOTT LLC	Bd affiliated wealth	Jul 22, 2013	Sep 22, 2016	no	Boca Raton, FL\|FT. LAUDERDALE, FL	Previous registration
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Jan 30, 2012	Jul 17, 2013	no	BOCA RATON, FL	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jan 30, 2012	no	Boca Raton, FL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Aug 2, 1999	Jun 1, 2009	no	BOCA RATON, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
STOEVER GLASS WEALTH MANAGEMENT, INC.	HERBERT J. SIMS CAPITAL MANAGEMENT, INC.	Feb 7, 2025	Feb 11, 2025	4	Firm change	RIA to RIA
JANNEY MONTGOMERY SCOTT LLC	STOEVER GLASS WEALTH MANAGEMENT, INC.	Sep 22, 2016	Oct 20, 2016	28	Firm change	Other
RAYMOND JAMES & ASSOCIATES, INC.	JANNEY MONTGOMERY SCOTT LLC	Jul 17, 2013	Jul 22, 2013	5	Firm change	Other
MORGAN STANLEY	RAYMOND JAMES & ASSOCIATES, INC.	Jan 30, 2012	Jan 30, 2012	0	Firm change	Wirehouse to ibd
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (6)

→ HERBERT J. SIMS CAPITAL MANAGEMENT, INC.Registered adviserregistration: current employment
Feb 11, 2025 to presentfactForm ADV
→ STOEVER GLASS WEALTH MANAGEMENT, INC.Registered adviserregistration: previous registration
Oct 20, 2016 to Feb 7, 2025factForm ADV
→ JANNEY MONTGOMERY SCOTT LLCRegistered adviserregistration: previous registration
Jul 22, 2013 to Sep 22, 2016factForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Jan 30, 2012 to Jul 17, 2013factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jan 30, 2012factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Aug 2, 1999 to Jun 1, 2009factForm ADV

Dated events

Occurred
Feb 7, 2025
Advisor changed firm
Steven Charles Sapirstein left Stoever Glass Wealth Management, Inc. for Herbert J. Sims Capital Management, Inc. (registered 2025-02-11)
Form ADVobserved 5 days ago