Owen F. Dudley
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.
Owen Finnel Dudley, who also goes by Owen Finnel Dudley Jr, Owen Dudley, was a registered financial advisor .
Owen is a previously registered financial advisor and started their career in finance in 1995. Owen had worked at 6 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
February 23, 2016 - November 17, 2021
HERBERT J. SIMS & CO, INC.
January 18, 2012 - February 25, 2016
SMH CAPITAL INVESTMENTS LLC
September 1, 2011 - February 10, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - February 10, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 16, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
November 4, 1997 - February 2, 2007
KEYBANC CAPITAL MARKETS INC.
November 21, 1995 - November 24, 1997
RAYMOND JAMES & ASSOCIATES, 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.
