R J. Sands
Professional summary
R Jeffrey Sands is a registered financial professional currently at HERBERT J. SIMS & CO, INC. located in Fairfield, Connecticut.
R is registered as a RR (Registered Representative) and started their career in finance in 2001. R has worked at 1 firm and has passed the Series 99TO, Series 79TO, SIE, Series 50, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view R Jeffrey Sands's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2001 - Present
HERBERT J. SIMS & CO, INC.
Office #1: 2150 Post Road Suite 301, Fairfield, CT 06824Office #2: 2150 Post Road Suite 301, Fairfield, CT 06824State 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking 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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