William D. Ford
Professional summary
William Duffy Ford is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Duffy Ford's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 15, 2010 - Present
HERBERT J. SIMS & CO, INC.
Office #1: 8300 Norman Center Drive Suite 100, Bloomington, MN 55437August 22, 2003 - October 22, 2010
B. C. ZIEGLER AND COMPANY
March 2, 1998 - August 29, 2003
RBC CAPITAL MARKETS, LLC
January 14, 1994 - March 2, 1998
DAIN RAUSCHER INCORPORATED
August 24, 1988 - February 14, 1994
DOUGHERTY DAWKINS LLC
October 20, 1983 - August 31, 1988
SECURITIES RESOLUTION 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
(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)
(2/4/2020)
(10/15/2010)
(10/15/2010)
(10/15/2010)
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
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