Robert F. Pedretti

HERBERT J. SIMS & CO

Boca Raton, FL 33431

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CRD#: 1775123

Professional summary

Robert Frank Pedretti 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 1988. Robert has worked at 13 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Robert Frank Pedretti'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

January 31, 2025 - Present

HERBERT J. SIMS & CO, INC.

Office #1: 2700 N. Military Trail #400, Boca Raton, FL 33431

CRD#: 3420

Boca Raton, FL

Past

March 24, 2008 - February 12, 2025

SECUREVEST FINANCIAL GROUP

CRD#: 10100

Parkland , FL

Past

October 31, 2000 - March 18, 2008

R. SEELAUS & CO., LLC

CRD#: 14974

BOCA RATON, FL

Past

August 29, 1994 - October 12, 1998

DAVID LERNER ASSOCIATES, INC.

CRD#: 5397

SYOSSET, NY

Past

January 11, 1993 - September 12, 1994

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

November 25, 1992 - August 26, 1994

GMS GROUP

CRD#: 8000

EAST HANOVER, NJ

Past

April 16, 1992 - December 2, 1992

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CRD#: 14229

NORTHRIDGE, CA

Past

April 11, 1991 - April 27, 1992

GMS GROUP

CRD#: 8000

EAST HANOVER, NJ

Past

September 17, 1990 - October 4, 1991

FUNDMARK INVESTMENT COMPANY SERVICES, INC.

CRD#: 13066

Past

September 4, 1990 - October 18, 1990

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

August 16, 1990 - April 12, 1991

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CRD#: 14229

NORTHRIDGE, CA

Past

January 2, 1990 - September 4, 1990

PRESCOTT, BALL & TURBEN, INC.

CRD#: 7656

Past

March 22, 1989 - January 2, 1990

GULFSTREAM FINANCIAL ASSOCIATES, INC.

CRD#: 19910

Past

March 16, 1988 - April 3, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

February 24, 1988 - March 2, 1988

MCG PORTFOLIO MANAGEMENT CORP.

CRD#: 7070

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

Arizona
(2/5/2025)

California
(1/31/2025)

Colorado
(2/5/2025)

Florida
(1/31/2025)

Georgia
(1/31/2025)

New Jersey
(2/5/2025)

Texas
(1/31/2025)

Exams

State Security Law Exam

Series 63

Date: 7/7/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/20/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/10/2011

General Securities Principal 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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Robert F. Pedretti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Frank Pedretti's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECUREVEST FINANCIAL GROUP

R. SEELAUS & CO., LLC

DAVID LERNER ASSOCIATES, INC.

GRUNTAL & CO., L.L.C.

GMS GROUP

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

GMS GROUP

FUNDMARK INVESTMENT COMPANY SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

PRESCOTT, BALL & TURBEN, INC.

GULFSTREAM FINANCIAL ASSOCIATES, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

MCG PORTFOLIO MANAGEMENT CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/7/1988

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/20/1988

Series 24

Date: 3/10/2011

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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