Koren A. Howe
Professional summary
Koren Aleena Howe, who also goes by Koren A Howe, is a registered financial professional currently at HERBERT J. SIMS & CO, INC. located in Fairfield, Connecticut.
Koren is registered as a RR (Registered Representative) and started their career in finance in 2004. Koren has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Koren Aleena Howe's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 19, 2016 - Present
HERBERT J. SIMS & CO, INC.
Office #1: 2150 Post Road Suite 301, Fairfield, CT 06824May 2, 2008 - January 29, 2015
DOMINICK & DICKERMAN LLC
November 24, 2004 - May 13, 2008
WARFIELD ASSOCIATES, INC.
February 24, 2004 - November 12, 2004
NEUBERGER BERMAN BD LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/19/2016)
(3/7/2022)
Exams
FINRA
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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