James Jacobs Rester
Professional Summary
James Jacobs Rester is a registered financial advisor currently at HERBERT J. SIMS & CO, INC. located in Dallas, Texas. James is registered as a RR (Registered Representative) and started their career in finance in 2002. James has worked at 3 firms and has passed the Series 63, Series 79, SIE, Series 50 and Series 52 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
21 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
HERBERT .J SIMS & CO, INC. | HERBERT J. SIMS & CO. INC. | HERBERT J. SIMS & CO, INC.
Contact Information
Main Address
2150 Post Road Suite 301, Fairfield, CT 06824Mailing Address
2150 Post Road Suite 301, Fairfield, CT 06824Phone Number
(203) 418-9000Established
Delaware since 12/12/2012Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US 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 | MANAGING PRINCIPAL | 3149315 |
| HEBERT, VALERIE | CHIEF COMPLIANCE OFFICER | 4007252 |
| SANDS, R JEFFREY | MANAGING PRINCIPAL | 4285040 |
| SIMS, ELIZABETH BARNETT | MANAGING PRINCIPAL | 5000820 |
| SIMS, WILLIAM BARNETT | OWNER | 425019 |
Disclosures
Regulatory Event
8Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(6/27/2023)
(4/11/2022)
(5/6/2015)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Nov 2018About the Series 79 examSeries 50 — Municipal Advisor Representative Qualification Exam
Passed Feb 2016About the Series 50 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Jacobs Rester's CRS (Customer Relationship Summary).
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