Joseph J. Crowley
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.
Joseph James Crowley was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1997. Joseph had worked at 10 firms and has passed the Series 63, Series 50, Series 52TO, Series 79TO, SIE, Series 7, Series 54 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2024 - January 23, 2025
HERBERT J. SIMS & CO, INC.
August 23, 2023 - June 3, 2024
BACKSTROM MCCARLEY BERRY & CO., LLC
March 30, 2017 - January 6, 2023
B. C. ZIEGLER AND COMPANY
April 7, 2014 - April 3, 2017
WILLIAM BLAIR
May 17, 2011 - March 25, 2014
E.J. DE LA ROSA & CO., INC.
April 13, 2009 - April 27, 2011
SEATTLE-NORTHWEST SECURITIES CORPORATION
March 11, 2008 - March 25, 2009
LOOP CAPITAL MARKETS LLC
January 24, 2001 - March 25, 2008
CITIGROUP GLOBAL MARKETS INC.
October 1, 1998 - April 18, 2000
BANC OF AMERICA SECURITIES LLC
February 19, 1997 - October 1, 1998
BANCAMERICA SECURITIES, 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 12/28/2018
Investment Banking Registered Representative ExaminationCurrent 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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