Carole G. Ferraro
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.
Carole Gurgone Ferraro, who also goes by Carole Gurgone, was a registered financial advisor .
Carole is a previously registered financial advisor and started their career in finance in 1983. Carole had worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2009 - February 16, 2010
HERBERT J. SIMS & CO, INC.
October 1, 2000 - March 15, 2007
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - March 15, 2007
WELLS FARGO CLEARING SERVICES, LLC
September 15, 1998 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
May 1, 1998 - August 7, 1998
WAMU INVESTMENTS, INC.
January 4, 1995 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
July 24, 1990 - November 28, 1994
IVY DISTRIBUTORS, INC.
March 13, 1989 - July 18, 1990
DUNHILL EQUITIES, INC.
March 8, 1988 - July 6, 1988
GINTEL & CO., LLC
September 21, 1983 - November 21, 1989
HERZOG, HEINE, GEDULD, 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.
