Robert M. Ventrice
Professional summary
Robert Michael Ventrice is a registered financial professional currently at HERBERT J. SIMS & CO, INC. located in Red Bank, New Jersey.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1993. Robert has worked at 5 firms and has passed the SIE and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Michael Ventrice's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 31, 2025 - Present
HERBERT J. SIMS & CO, INC.
Office #1: 331 Newman Springs Road Building 3, Suite 312- 3rd Floor, Red Bank, NJ 07701July 28, 2020 - February 12, 2025
SECUREVEST FINANCIAL GROUP
September 5, 2002 - June 3, 2020
EMMET & CO, INC.
November 1, 1994 - August 16, 2002
HARTFIELD, TITUS & DONNELLY, LLC
August 30, 1993 - October 17, 1994
J.J. KENNY DRAKE, INC.
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
FINRA
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.
