RH
Richard F. Harmon
HERBERT J. SIMS & CO
Rockville, MD 20852
Some features on this profile are disabled
CRD#: 3043724
RH
Professional summary
Richard Frederick Harmon, who also goes by Richard Fredrick Harmon, is a registered financial professional currently at HERBERT J. SIMS & CO, INC. located in Rockville, Maryland.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1998. Richard has worked at 5 firms and has passed the Series 63, Series 79TO, Series 52TO, Series 99TO, SIE, Series 50, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Richard Fredrick Harmon
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.
CRS (Client Relationship Summary) - BD
Click below to view Richard Frederick Harmon's 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®
NoneExperience
Current
March 8, 2022 - Present
HERBERT J. SIMS & CO, INC.
Office #1: 11140 Rockville Pike Suite 630, Rockville, MD 20852BD
CRD#: 3420
Rockville, MD
Past
August 3, 2020 - December 8, 2021
TRUIST SECURITIES, INC.
BD
CRD#: 6271
RICHMOND, VA
Past
May 15, 2013 - August 3, 2020
BB&T SECURITIES, LLC
BD
CRD#: 142785
COLUMBUS, OH
Past
December 12, 2002 - June 5, 2013
B. C. ZIEGLER AND COMPANY
BD
CRD#: 61
NEW ALBANY, OH
Past
July 9, 1998 - December 2, 2002
LANCASTER POLLARD & CO., LLC
BD
CRD#: 24110
COLUMBUS, OH
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
Alabama(3/8/2022)
RR
Alaska(3/8/2022)
RR
Arizona(3/8/2022)
RR
Arkansas(3/8/2022)
RR
California(3/8/2022)
RR
Colorado(3/8/2022)
RR
Connecticut(3/8/2022)
RR
Delaware(3/8/2022)
RR
District of Columbia(3/8/2022)
RR
Florida(3/8/2022)
RR
Georgia(3/8/2022)
RR
Hawaii(3/8/2022)
RR
Idaho(3/8/2022)
RR
Illinois(3/8/2022)
RR
Indiana(3/8/2022)
RR
Iowa(3/8/2022)
RR
Kansas(3/8/2022)
RR
Kentucky(3/8/2022)
RR
Louisiana(3/8/2022)
RR
Maine(3/8/2022)
RR
Maryland(3/8/2022)
RR
Massachusetts(3/8/2022)
RR
Michigan(3/8/2022)
RR
Minnesota(3/8/2022)
RR
Mississippi(3/8/2022)
RR
Missouri(3/8/2022)
RR
Montana(3/8/2022)
RR
Nebraska(3/8/2022)
RR
Nevada(3/8/2022)
RR
New Hampshire(3/8/2022)
RR
New Jersey(3/8/2022)
RR
New Mexico(3/8/2022)
RR
New York(3/8/2022)
RR
North Carolina(3/8/2022)
RR
North Dakota(3/8/2022)
RR
Ohio(3/8/2022)
RR
Oklahoma(3/8/2022)
RR
Oregon(3/8/2022)
RR
Pennsylvania(3/8/2022)
RR
Puerto Rico(3/8/2022)
RR
Rhode Island(3/8/2022)
RR
South Carolina(3/8/2022)
RR
South Dakota(3/8/2022)
RR
Tennessee(3/8/2022)
RR
Texas(3/8/2022)
RR
Utah(3/8/2022)
RR
Vermont(3/8/2022)
RR
Virginia(3/8/2022)
RR
Washington(3/8/2022)
RR
West Virginia(3/8/2022)
RR
Wisconsin(3/8/2022)
RR
Wyoming(3/8/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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)
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.
