Howard Burstein
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.
Howard Burstein was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1974. Howard had worked at 11 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2006 - December 7, 2012
HERBERT J. SIMS & CO, INC.
January 6, 2006 - December 15, 2006
J. B. HANAUER & CO.
July 29, 2004 - January 9, 2006
STERNE, AGEE & LEACH, INC.
March 4, 2003 - August 9, 2004
TD WEALTH MANAGEMENT SERVICES INC.
June 14, 2001 - March 11, 2003
STERNE, AGEE & LEACH, INC.
June 30, 1998 - June 27, 2001
CIBC WORLD MARKETS CORP.
July 22, 1997 - June 16, 1998
BANC ONE CAPITAL MARKETS, INC.
July 22, 1996 - July 2, 1997
SBC WARBURG DILLON READ INC.
June 14, 1991 - July 23, 1996
E.A. MOOS & CO. L.P.
February 1, 1985 - June 24, 1991
LAZARD FRERES & CO. LLC
March 14, 1978 - February 7, 1985
SBC WARBURG DILLON READ INC.
August 22, 1977 - May 4, 1978
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
January 11, 1977 - September 10, 1977
WEEDEN & CO.
August 7, 1974 - February 15, 1976
SBC WARBURG DILLON READ 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 1
Date: 2/24/1969
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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