Clarence G. Caffrey
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.
Clarence Gerard Caffrey, who also goes by Larry Caffrey, was a registered financial professional .
Clarence is a previously registered financial professional and started their career in finance in 1968. Clarence had worked at 9 firms and has passed the Series 1 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 1999 - August 26, 1999
HERBERT J. SIMS & CO, INC.
March 21, 1996 - June 3, 1998
CARREDEN GROUP, INC.
August 3, 1993 - January 25, 1995
GARBAN CAPITAL MARKETS LLC
August 23, 1989 - May 26, 1992
E.A. MOOS & CO. L.P.
November 18, 1988 - August 26, 1989
HALPERT AND COMPANY, INC.
August 3, 1988 - November 7, 1988
TULLETT LIBERTY BROKERAGE INC.
June 27, 1986 - May 13, 1988
CAFFREY CERESA & CO. SECURITIES, INC.
January 31, 1980 - May 16, 1986
UBS FINANCIAL SERVICES INC.
July 24, 1968 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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: 7/19/1968
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
