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HT

Hekmat D. Tamimie

Some features on this profile are disabled
CRD#: 3020798
HT

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.

Hekmat David Tamimie was a registered financial professional .

Hekmat is a previously registered financial professional and started their career in finance in 1998. Hekmat had worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 23, 2016 - July 11, 2020

GIRARD INVESTMENT SERVICES, LLC

BD
CRD#: 1834
King of Prussia, PA
Past

June 16, 2016 - July 31, 2020

GIRARD PARTNERS LTD.

RIA
CRD#: 39163
King of Prussia, PA
Past

January 21, 2014 - May 13, 2016

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
PHILADELPHIA, PA
Past

January 4, 2013 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
BERWYN, PA
Past

January 4, 2013 - May 13, 2016

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
BERWYN, PA
Past

April 16, 2012 - October 22, 2012

SII INVESTMENTS, INC.

RIA
CRD#: 2225
WAYNE, PA
Past

March 14, 2012 - October 22, 2012

SII INVESTMENTS, INC.

BD
CRD#: 2225
WAYNE, PA
Past

October 1, 1999 - September 16, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

March 13, 1998 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/13/2012
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/22/2011
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/13/2012
General Securities Representative Examination

Current Firm

GI
GIRARD INVESTMENT SERVICES, LLC
FIN-PLAN INVESTMENTS, INC. | UNIVEST INVESTMENTS, INC. | GIRARD INVESTMENT SERVICES, LLC | GIRARD

CRD#: 1834 / SEC#: 801-61159, 8-14145

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
41 West Broad Street, Souderton, PA 18964
Mailing Address
41 West Broad Street, Souderton, PA 18964
Phone number
(215) 721-2112
Established
Pennsylvania since 01/01/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (15 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
UNIVEST BANK AND TRUST CO.HOLDING COMPANY
COLON, LISA MARIEPRINCIPAL OPERATIONS OFFICER2392261
GEIBEL, DAVID WARRENPRESIDENT2645082
HELLINGS, THOMAS EDWINSVP, CHIEF COMPLIANCE OFFICER2128581
JOHNSON, DARREN GLENVP, FINANCIAL OFFICER4102844
VANSANT, WILLIAM FRANCIS IIISVP, MANAGING DIRECTOR4511525

Disclosures

Regulatory Event2

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.

Company Information

GIRARD INVESTMENT SERVICES, LLC

CRD#: 1834

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