Daniel J. Richardson

HERBERT J. SIMS & CO

MORRISTOWN, NJ 07960

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CRD#: 4184196

Professional summary

Daniel James Richardson is a registered financial professional currently at HERBERT J. SIMS & CO, INC. located in Morristown, New Jersey.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2001. Daniel has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Daniel James Richardson'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

February 3, 2025 - Present

HERBERT J. SIMS & CO, INC.

Office #1: 163 Madison Avenue Suite 405, Morristown, NJ 07960

CRD#: 3420

MORRISTOWN, NJ

Past

August 1, 2012 - February 12, 2025

SECUREVEST FINANCIAL GROUP

CRD#: 10100

MORRISTOWN, NJ

Past

July 1, 2011 - July 31, 2012

STANDARD CREDIT SECURITIES INC.

CRD#: 42813

WOODCLIFF LAKE, NJ

Past

September 14, 2009 - June 24, 2011

SECUREVEST FINANCIAL GROUP

CRD#: 10100

MORRISTOWN, NJ

Past

March 28, 2001 - September 26, 2009

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

January 26, 2001 - February 20, 2001

ABN AMRO SECURITIES LLC

CRD#: 6540

NEW YORK, NY

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

Connecticut
(2/3/2025)

Illinois
(2/3/2025)

New Jersey
(2/3/2025)

New York
(2/3/2025)

Exams

State Security Law Exam

Series 63

Date: 2/13/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/25/2001

General Securities Representative 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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Daniel J. Richardson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel James Richardson's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECUREVEST FINANCIAL GROUP

STANDARD CREDIT SECURITIES INC.

SECUREVEST FINANCIAL GROUP

CREDIT SUISSE SECURITIES (USA) LLC

ABN AMRO SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/13/2001

SIE

Date: 10/1/2018

Series 7

Date: 1/25/2001

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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