Stephen E. Anderson

HERBERT J. SIMS & CO

Charlotte, NC 28277

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CRD#: 4698909

Professional summary

Stephen Edwin Anderson is a registered financial professional currently at HERBERT J. SIMS & CO, INC. located in Charlotte, North Carolina.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2003. Stephen has worked at 6 firms and has passed the Series 63, Series 52TO, Series 50, 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 Stephen Edwin Anderson'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

May 21, 2025 - Present

HERBERT J. SIMS & CO, INC.

Office #1: Curran Building 13950 Ballantyne Corporate Place Suite 110, Charlotte, NC 28277

CRD#: 3420

Charlotte, NC

Past

August 29, 2023 - May 20, 2025

FHN FINANCIAL SECURITIES CORP.

CRD#: 46346

Charlotte, NC

Past

July 16, 2009 - June 21, 2022

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

CHARLOTTE, NC

Past

November 26, 2007 - July 22, 2009

WELLS FARGO SECURITIES, LLC

CRD#: 126292

CHARLOTTE, NC

Past

October 5, 2005 - November 26, 2007

A. G. EDWARDS & SONS, INC.

CRD#: 4

WINSTON-SALEM, NC

Past

October 28, 2003 - September 9, 2005

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

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

North Carolina
(5/21/2025)

Exams

State Security Law Exam

Series 63

Date: 11/17/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 8/29/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 50

Date: 2/21/2019

Municipal Advisor Representative Qualification Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/27/2003

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

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Advisor Monitoring

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Stephen E. Anderson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Edwin Anderson's CRS (Customer Relationship Summary).

Certified licenses

Experience

FHN FINANCIAL SECURITIES CORP.

ROBERT W. BAIRD & CO. INCORPORATED

WELLS FARGO SECURITIES, LLC

A. G. EDWARDS & SONS, INC.

LEGG MASON WOOD WALKER, INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 11/17/2003

Series 52TO

Date: 8/29/2023

Series 50

Date: 2/21/2019

SIE

Date: 10/1/2018

Series 7

Date: 10/27/2003

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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