John F. Warnick
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.
John Farrell Warnick was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1992. John had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2015 - October 17, 2018
HERBERT J. SIMS & CO, INC.
October 8, 2013 - February 13, 2015
M&T SECURITIES, INC.
May 4, 2010 - August 1, 2013
PIPER SANDLER & CO.
January 2, 2008 - May 3, 2010
CABRERA CAPITAL MARKETS, LLC
April 19, 2006 - June 19, 2007
RBC CAPITAL MARKETS, LLC
July 1, 2003 - April 11, 2006
WELLS FARGO SECURITIES, LLC
April 5, 2002 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - August 30, 2000
WELLS FARGO CLEARING SERVICES, LLC
July 14, 1998 - April 5, 1999
JACKSON SECURITIES LLC
February 2, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
January 2, 1996 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
June 8, 1994 - January 2, 1996
FIRST FIDELITY BROKERS, INC.
May 21, 1992 - May 14, 1994
R.D. WHITE & CO., 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
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