MA/A 0000090608 XXXXXXXX Valerie Hebert 203-418-9020 vhebert@hjsims.com VHebert@hjsims.com kcarroll@hjsims.com HERBERT J. SIMS & CO, INC. 3420 13-5213180 866-00704-00 867-01435 008-3315 3420 2150 POST ROAD SUITE 301 FAIRFIELD CT 06824 203-418-9030 Add 11140 Rockville Pike Suite 630 Rockille MD 20852 203-418-9083 203-418-9083 N www.hjsims.com. Valerie Odette Hebert

2150 Post Road Suite 301 Fairfield CT 06824

203-418-9020 203-418-9082 vhebert@hjsims.com Karen Patrice Carroll

2150 Post Road Suit 301 Fairfield CT 06824

561-620-2138 203-418-9082 kcarroll@hjsims.com Herbert J. Sims Capital Management Inc. Y CT Registered Investment Advisor CRD # 134510 CT Sims Mortgage Funding, Inc. N HJS, Advisors Inc. N December DE 12-15-2012 N 77 16 16 0 0 22 Non-profit organizations Corporations or other businesses 0 0 0 Other Continuous Care Retirement Communities Fixed Fees Contingent Fees Not Applicable Advice Insurance Of MS Advice Investment Of Proceeds MS Advice ME Investments Advice Guaranteed IC Y Y Y Y Broker-dealer municipal securities dealer or government securities broker or dealer Investment Adviser 2 Add Broker-dealer municipal securities dealer or government securities broker or dealer HJ Sims Broker Dealer Y Y N Add Investment Company Insurance company or agency Herbert J Sims Capital Management Inc. Investment Advisor Y Y N Y N N N Y N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N Y Teksys N 13-2674133 Owner 08-28-2014 E N William Barnett Sims President 08-28-2014 NA Y 425019 Jason Howard Diamond Chief Financial Officer/Managing Principal 05-01-2007 NA Y 2320884 R Jeffrey NMN Sands Director 12-15-2012 NA Y 4285040 Aaron Mordecai Rulnick Director 12-15-2012 NA Y 3149315 Daniel Joseph Mullane Managing Principal 08-01-2019 NA Y 1246435 Valerie Odette Hebert Chief Compliance Officer 09-16-2019 NA N 4007252 Teksys N 13-2674133 Owner 08-28-2014 E N William Barnett Sims President 08-28-2014 NA Y 425019 Jason Howard Diamond Chief Financial Officer/Managing Principal 05-01-2007 NA Y 2320884 R Jeffrey NMN Sands Director 12-15-2012 NA Y 4285040 Aaron Mordecai Rulnick Director 12-15-2012 NA Y 3149315 Daniel Joseph Mullane Managing Principal 08-01-2019 NA Y 1246435 Valerie Odette Hebert Chief Compliance Officer 09-16-2019 NA N 4007252 Valerie Hebert Valerie Hebert CCO 07-25-2024 4007252 N N N N N Y N Y N N N N Y N N N N N N N N