Heidi A. Peterson
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.
Heidi Ann Peterson, who also goes by Heidi Ann Graves, was a registered financial professional .
Heidi is a previously registered financial professional and started their career in finance in 1993. Heidi had worked at 10 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
October 15, 2010 - May 20, 2024
HERBERT J. SIMS & CO, INC.
June 5, 2009 - October 22, 2010
B. C. ZIEGLER AND COMPANY
February 12, 2007 - August 14, 2008
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
February 2, 2007 - August 13, 2008
LPL FINANCIAL LLC
May 23, 2006 - February 8, 2007
SII INVESTMENTS, INC.
June 6, 2005 - April 12, 2006
PIPER SANDLER & CO.
November 15, 2001 - June 15, 2005
CITIGROUP GLOBAL MARKETS INC.
January 1, 2001 - November 9, 2001
MILLER JOHNSON STEICHEN KINNARD, INC.
February 14, 1995 - January 1, 2001
JOHN G. KINNARD AND COMPANY, INCORPORATED
February 7, 1995 - March 9, 1995
MILLER JOHNSON STEICHEN KINNARD, INC.
February 2, 1994 - January 4, 1995
WESTONKA INVESTMENTS, INC.
October 26, 1993 - January 25, 1994
MILLER JOHNSON STEICHEN KINNARD, 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.
