Philip R. Gilboy
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.
Philip Russell Gilboy was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1984. Philip had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 52, 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
September 27, 2017 - October 13, 2022
HERBERT J. SIMS & CO, INC.
April 1, 1999 - December 18, 2017
P.R. GILBOY & ASSOCIATES, INC.
May 8, 1996 - January 14, 1999
SCOTT & STRINGFELLOW, LLC
February 1, 1994 - April 8, 1996
BANC OF AMERICA SECURITIES LLC
November 16, 1992 - January 28, 1994
ALEX. BROWN & SONS INCORPORATED
January 15, 1991 - November 23, 1992
WACHOVIA SECURITIES, INC.
September 11, 1984 - January 14, 1991
FIRST TRYON SECURITIES, 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.
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