Timothy R. Smalls
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.
Timothy Richard Smalls was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1982. Timothy had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 6 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
June 13, 2013 - December 1, 2014
HERBERT J. SIMS & CO, INC.
June 13, 2012 - December 8, 2012
EQUUS FINANCIAL CONSULTING LLC
April 27, 2004 - August 13, 2010
ATLANTIC EQUITIES, LLC
May 28, 1999 - February 6, 2004
COWEN AND COMPANY
October 24, 1994 - May 10, 1999
DEUTSCHE BANK SECURITIES INC.
September 13, 1983 - January 13, 1988
LEHMAN BROTHERS INC.
July 28, 1982 - April 18, 1983
BNY MELLON SECURITIES CORPORATION
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 55
Date: 4/22/2000
Limited Representative-Equity Trader ExamCurrent 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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Check for any disclosures as part of your thorough research when choosing an advisor.
