Julianne J. Smith

HERBERT J. SIMS & CO

Fairfield, CT 06824

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CRD#: 1468903

Professional summary

Julianne James Smith, who also goes by Julianne James, Julie James, is a registered financial professional currently at HERBERT J. SIMS & CO, INC. located in Fairfield, Connecticut.

Julianne is registered as a RR (Registered Representative) and started their career in finance in 1987. Julianne has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Julianne James | Julie James

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Julianne James Smith's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 6, 2011 - Present

HERBERT J. SIMS & CO, INC.

Office #1: 2150 Post Road Suite 301, Fairfield, CT 06824Office #2: 2150 Post Road Suite 301, Fairfield, CT 06824

CRD#: 3420

Fairfield, CT

Past

January 3, 2007 - November 7, 2008

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

NEW YORK, NY

Past

May 15, 1989 - March 19, 2007

CHAPDELAINE CORPORATE SECURITIES & CO

CRD#: 23741

NEW YORK, NY

Past

June 25, 1987 - May 8, 1989

MINT BROKERS

CRD#: 13681

NEW YORK, NY

Past

April 29, 1987 - July 21, 1987

E. F. HUTTON & COMPANY INC

CRD#: 235

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(10/12/2011)

Exams

State Security Law Exam

Series 63

Date: 7/30/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/25/1987

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HERBERT J. SIMS & CO, INC.

HERBERT .J SIMS & CO, INC. | HERBERT J. SIMS & CO. INC. | HERBERT J. SIMS & CO, INC.

CRD#: 3420 / SEC#: , 8-3315

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

2150 Post Road Suite 301, Fairfield, CT 06824

Mailing Address

2150 Post Road Suite 301, Fairfield, CT 06824

Phone number

(203) 418-9000

Established

Delaware since 12/12/2012

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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.

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Julianne J. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Julianne James Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

HERBERT J. SIMS & CO, INC.

TULLETT PREBON FINANCIAL SERVICES LLC

CHAPDELAINE CORPORATE SECURITIES & CO

MINT BROKERS

E. F. HUTTON & COMPANY INC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/30/1987

SIE

Date: 10/1/2018

Series 7

Date: 4/25/1987

FINRA

Current Firm

HERBERT J. SIMS & CO, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HERBERT J. SIMS & CO, INC.

TRUST BUT VERIFY

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