Valerie Hebert
Professional summary
Valerie Hebert, who also goes by Valerie Odette Hardouin, Valerie O Hebert, Valerie Odette Hebert, is a registered financial professional currently at HERBERT J. SIMS & CO, INC. located in Fairfield, Connecticut.
Valerie is registered as a RR (Registered Representative) and started their career in finance in 2001. Valerie has worked at 12 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Valerie Hebert's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 16, 2019 - Present
HERBERT J. SIMS & CO, INC.
Office #1: 2150 Post Road Suite 301, Fairfield, CT 06824November 29, 2018 - July 1, 2019
BREAN CAPITAL, LLC
March 6, 2017 - August 12, 2019
HUNT FINANCIAL SECURITIES
January 30, 2013 - September 30, 2013
PIERPONT CAPITAL ADVISORS LLC
January 30, 2013 - March 1, 2017
SANTANDER US CAPITAL MARKETS LLC
March 5, 2010 - January 29, 2013
UBS SECURITIES LLC
May 4, 2009 - February 11, 2010
NEUBERGER BERMAN BD LLC
March 5, 2008 - March 11, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 18, 2007 - March 5, 2008
UST SECURITIES CORP.
February 22, 2006 - May 2, 2007
UST SECURITIES CORP.
July 1, 2003 - February 13, 2006
BNP PARIBAS SECURITIES CORP.
August 12, 2002 - June 20, 2003
MUFG SECURITIES AMERICAS INC.
January 1, 2001 - July 29, 2002
NEWEDGE USA, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/16/2019)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/5/2001
Limited Representative-Equity Trader ExamFINRA
Current 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.
