William B. Sims
Professional summary
William Barnett Sims is a registered financial professional currently at HERBERT J. SIMS & CO, INC. located in Fairfield, Connecticut.
William is registered as a RR (Registered Representative) and started their career in finance in 1971. William has worked at 2 firms and has passed the Series 99TO, Series 7TO, Series 79TO, SIE, Series 50, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Barnett Sims's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 18, 1973 - Present
HERBERT J. SIMS & CO, INC.
Office #1: 2150 Post Road Suite 301, Fairfield, CT 06824Office #2: 2150 Post Road Suite 301, Fairfield, CT 06824December 2, 1971 - October 24, 1973
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
(12/15/2020)
(12/15/2020)
(12/15/2020)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 1
Date: 12/1/1971
Registered Representative ExaminationFINRA
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 |
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