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MF

Maria J. Faddish

HERBERT J. SIMS & CO
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 2531243
MF

Professional summary

Maria Josefa Faddish, who also goes by Maria J Fernandez, is a registered financial professional currently at HERBERT J. SIMS & CO, INC. located in Boca Raton, Florida.

Maria is registered as a RR (Registered Representative) and started their career in finance in 1998. Maria has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Maria J Fernandez

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 Maria Josefa Faddish'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

November 26, 2012 - Present

HERBERT J. SIMS & CO, INC.

Office #1: 2700 N. Military Trail #400, Boca Raton, FL 33431
BD
CRD#: 3420
Boca Raton, FL
Past

March 9, 2004 - December 3, 2012

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
BOCA RATON, FL
Past

October 28, 2002 - January 30, 2004

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

March 5, 1999 - February 11, 2002

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

September 21, 1998 - March 12, 1999

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
Florida
(11/26/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 11/20/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/18/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 5/17/2006
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/17/2006
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

HJ
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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TEKSYS CORPORATIONOWNER
DIAMOND, JASON HOWARDCHIEF FINANCIAL OFFICER/MANAGING PRINCIPAL2320884
RULNICK, AARON MDIRECTOR3149315
HEBERT, VALERIECHIEF COMPLIANCE OFFICER4007252
MULLANE, DANIEL JOSEPHMANAGING PRINCIPAL1246435
SANDS, R JEFFREYDIRECTOR4285040
SIMS, WILLIAM BARNETTPRESIDENT/CEO425019

Disclosures

Regulatory Event8
Arbitration2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

HERBERT J. SIMS & CO, INC.

CRD#: 3420Boca Raton, FL 33431

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