John A. Solarczyk
Professional summary
John Arthur Solarczyk, who also goes by John Solarczyk, is a registered financial professional currently at HERBERT J. SIMS & CO, INC. located in San Clemente, California.
John is registered as a RR (Registered Representative) and started their career in finance in 1994. John has worked at 8 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Arthur Solarczyk's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 25, 2024 - Present
HERBERT J. SIMS & CO, INC.
Office #1: 1010 S. El Camino Real Suite 201, San Clemente, CA 92672March 6, 2019 - February 22, 2024
RBC CAPITAL MARKETS, LLC
December 8, 2015 - March 6, 2019
B. C. ZIEGLER AND COMPANY
April 1, 2014 - November 23, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 27, 2011 - April 23, 2014
E.J. DE LA ROSA & CO., INC.
February 1, 2011 - June 30, 2011
STERNE, AGEE & LEACH, INC.
May 6, 2010 - February 9, 2011
NOLLENBERGER CAPITAL PARTNERS INC.
February 12, 2008 - May 10, 2010
CHILTON & ASSOCIATES, INC.
August 23, 1994 - February 13, 2008
E.J. DE LA ROSA & 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
(1/30/2024)
(1/25/2024)
(1/30/2024)
(1/30/2024)
(1/30/2024)
(1/30/2024)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
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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Company Information
HERBERT J. SIMS & CO, INC.
CRD#: 3420San Clemente, CA 92672TRUST BUT VERIFY
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