William Duffy Ford
Professional Summary
William Duffy Ford is a registered financial advisor currently at HERBERT J. SIMS & CO, INC. located in Bloomington, Minnesota. William is registered as a RR (Registered Representative) and started their career in finance in 1983. William has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
43 years in the financial services industry
Current & Past Employments
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Current Firm
HERBERT .J SIMS & CO, INC. | HERBERT J. SIMS & CO. INC. | HERBERT J. SIMS & CO, INC.
Contact Information
Main Address
2150 Post Road Suite 301, Fairfield, CT 06824Mailing Address
2150 Post Road Suite 301, Fairfield, CT 06824Phone Number
(203) 418-9000Established
Delaware since 12/12/2012Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US 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 | MANAGING PRINCIPAL | 3149315 |
| HEBERT, VALERIE | CHIEF COMPLIANCE OFFICER | 4007252 |
| SANDS, R JEFFREY | MANAGING PRINCIPAL | 4285040 |
| SIMS, ELIZABETH BARNETT | MANAGING PRINCIPAL | 5000820 |
| SIMS, WILLIAM BARNETT | OWNER | 425019 |
Disclosures
Regulatory Event
8Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(12/3/2010)
(10/15/2010)
(12/6/2010)
(10/15/2010)
(2/14/2011)
(4/10/2017)
(10/15/2010)
(10/15/2010)
(10/26/2010)
(11/9/2010)
(6/22/2017)
(10/21/2010)
(10/15/2010)
(10/15/2010)
(3/8/2011)
(11/29/2010)
(10/15/2010)
(10/15/2010)
(7/5/2019)
(10/19/2010)
(12/13/2023)
(4/17/2024)
(10/15/2010)
(10/15/2010)
(10/15/2010)
(2/3/2026)
(2/4/2020)
(10/15/2010)
(10/15/2010)
(10/15/2010)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view William Duffy Ford's CRS (Customer Relationship Summary).
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