Robert A. Salles
Professional summary
Robert Alan Salles is a registered financial professional currently at HERBERT J. SIMS & CO, INC. located in Boca Raton, Florida.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1987. Robert has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Alan Salles's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 11, 2002 - Present
HERBERT J. SIMS & CO, INC.
Office #1: 2700 N. Military Trail #400, Boca Raton, FL 33431May 23, 1997 - October 22, 2002
CITIGROUP GLOBAL MARKETS INC.
May 23, 1997 - October 22, 2002
CITIGROUP GLOBAL MARKETS INC.
January 29, 1990 - May 29, 1997
GMS GROUP
September 12, 1989 - February 24, 1990
J. T. MORAN & CO., INC.
March 7, 1989 - September 19, 1989
ROBYNS CAPITAL CORP.
September 29, 1987 - April 4, 1989
HAMPTON SECURITIES, INC.
June 5, 1987 - October 7, 1987
BRADSTREET CAPITAL, INC.
January 9, 1987 - August 29, 1987
MORGAN GLADSTONE & 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
(7/31/2006)
(4/25/2006)
(10/11/2002)
(10/11/2002)
(2/28/2017)
(10/11/2002)
(10/17/2002)
(10/15/2002)
(9/15/2006)
(2/28/2017)
(10/11/2002)
(11/29/2002)
(3/21/2006)
(10/11/2002)
(10/11/2002)
(10/13/2017)
(10/11/2002)
(3/9/2011)
(10/11/2002)
(10/11/2002)
(8/12/2009)
(10/11/2002)
(11/12/2003)
(1/14/2011)
(4/18/2024)
(5/21/2007)
(11/13/2008)
(11/20/2020)
(11/18/2002)
(11/25/2013)
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
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.
Company Information
HERBERT J. SIMS & CO, INC.
CRD#: 3420Boca Raton, FL 33431TRUST BUT VERIFY
Monitor Robert Salles
Get automatic monthly alerts on:
