Kim A. Stevenson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kim Alexander Stevenson was a registered financial professional .
Kim is a previously registered financial professional and started their career in finance in 1981. Kim had worked at 8 firms and has passed the Series 63, Series 52TO, SIE, Series 5, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2008 - October 1, 2025
HERBERT J. SIMS & CO, INC.
January 2, 2008 - February 25, 2008
AXIOM CAPITAL MANAGEMENT, INC.
July 17, 2006 - December 31, 2007
ALTA CAPITAL GROUP, LLC
March 8, 2006 - August 2, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 21, 1996 - March 8, 2006
ADVEST, INC.
March 16, 1993 - August 26, 1995
TUCKER ANTHONY INCORPORATED
December 19, 1990 - March 5, 1993
UBS FINANCIAL SERVICES INC.
January 17, 1985 - May 19, 1986
SELIGMAN SECURITIES, INC.
August 8, 1981 - January 3, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 5
Date: 6/22/1983
Interest Rate Options ExaminationCurrent Firm
HERBERT J. SIMS & CO, INC.
CRD#: 3420 / SEC#: , 8-3315
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEKSYS CORPORATION | OWNER | |
| DIAMOND, JASON HOWARD | CHIEF FINANCIAL OFFICER/MANAGING PRINCIPAL | 2320884 |
| RULNICK, AARON M | DIRECTOR | 3149315 |
| HEBERT, VALERIE | CHIEF COMPLIANCE OFFICER | 4007252 |
| MULLANE, DANIEL JOSEPH | MANAGING PRINCIPAL | 1246435 |
| SANDS, R JEFFREY | DIRECTOR | 4285040 |
| SIMS, WILLIAM BARNETT | PRESIDENT/CEO | 425019 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
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