Wayne D. Godlin
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.
Wayne David Godlin was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1984. Wayne had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2017 - February 12, 2018
HERBERT J. SIMS & CO, INC.
September 23, 2010 - December 2, 2016
ALLIANCEBERNSTEIN INVESTMENTS, INC.
January 15, 2010 - June 9, 2011
SANFORD C. BERNSTEIN & CO., LLC
January 12, 1995 - December 24, 2009
INVESCO CAPITAL MARKETS, INC.
July 20, 1988 - December 31, 1989
ADVANTAGE CAPITAL CORPORATION
July 20, 1988 - January 12, 1995
AMERICAN CAPITAL MARKETING, INC.
November 25, 1987 - May 9, 1988
HANIFEN, IMHOFF INC.
August 15, 1984 - March 11, 1985
DAVID LERNER ASSOCIATES, 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
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.
