Joseph K. Halloran
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.
Joseph Kenneth Halloran, who also goes by Ken Halloran, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1982. Joseph had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2010 - December 18, 2018
HERBERT J. SIMS & CO, INC.
August 22, 2003 - October 22, 2010
B. C. ZIEGLER AND COMPANY
April 4, 2001 - August 29, 2003
RBC CAPITAL MARKETS, LLC
February 20, 1998 - October 6, 2000
SECURITIES RESOLUTION CORPORATION
August 3, 1995 - January 28, 1998
THE MINNEAPOLIS COMPANY, INC.
November 18, 1993 - July 11, 1995
DAIN RAUSCHER INCORPORATED
November 24, 1982 - November 23, 1993
DOUGHERTY DAWKINS LLC
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
Current 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
