James H. Cooper

HERBERT J. SIMS & CO

Rockville, MD 20852

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CRD#: 3155793

Professional summary

James H Cooper, who also goes by James H Cooper Jr, is a registered financial professional currently at HERBERT J. SIMS & CO, INC. located in Rockville, Maryland.

James is registered as a RR (Registered Representative) and started their career in finance in 2000. James has worked at 6 firms and has passed the Series 63, SIE, Series 52, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James H Cooper Jr

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) - BD

Click below to view James H Cooper's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 13, 2024 - Present

HERBERT J. SIMS & CO, INC.

Office #1: 11140 Rockville Pike Suite 630, Rockville, MD 20852

CRD#: 3420

Rockville, MD

Past

June 27, 2019 - December 5, 2023

COLLIERS SECURITIES LLC

CRD#: 7477

MINNEAPOLIS, MN

Past

July 24, 2017 - June 6, 2019

GREYSTONE BROKER DEALER CORP

CRD#: 284359

NEW YORK, NY

Past

November 18, 2014 - February 4, 2016

BB&T SECURITIES, LLC

CRD#: 142785

JACKSONVILLE, FL

Past

October 1, 2008 - November 7, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

April 16, 2007 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

June 20, 2000 - March 15, 2007

HERBERT J. SIMS & CO, INC.

CRD#: 3420

PONTE VEDRA, FL

State Registrations and Notice Filings

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

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

Maryland
(6/13/2024)

Exams

State Security Law Exam

Series 63

Date: 6/7/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 52

Date: 11/18/2014

Municipal Securities Representative Examination

General Industry/Product Exam

Series 7

Date: 6/19/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 6/8/2015

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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.

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Advisor Monitoring

Firm Stability Insights

James H. Cooper

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James H Cooper's CRS (Customer Relationship Summary).

Certified licenses

Experience

COLLIERS SECURITIES LLC

GREYSTONE BROKER DEALER CORP

BB&T SECURITIES, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

HERBERT J. SIMS & CO, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/7/2007

SIE

Date: 10/1/2018

Series 52

Date: 11/18/2014

Series 7

Date: 6/19/2000

Series 53

Date: 6/8/2015

FINRA

Current Firm

HERBERT J. SIMS & CO, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HERBERT J. SIMS & CO, INC.

TRUST BUT VERIFY

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