Cary M. Anderson

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CRD#: 4861

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Cary Marshall Anderson was a registered financial professional .

Cary is a previously registered financial professional and started their career in finance in 1972. Cary had worked at 12 firms and has passed the Series 63, Series 3, Series 7 and Series 00 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.

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 3, 2010 - July 16, 2014

HERBERT J. SIMS & CO, INC.

CRD#: 3420

BOCA RATON, FL

Past

June 7, 2005 - March 13, 2008

THE RIDERWOOD GROUP INCORPORATED

CRD#: 16681

TOWSON, MD

Past

December 6, 2002 - June 16, 2003

HARTFIELD, TITUS & DONNELLY, LLC

CRD#: 7117

JERSEY CITY, NJ

Past

February 2, 1998 - December 31, 2000

APEX CLEARING CORPORATION

CRD#: 13071

DALLAS, TX

Past

November 7, 1996 - February 2, 1998

FLEET SECURITIES INC.

CRD#: 7147

NEW YORK, NY

Past

March 15, 1996 - November 11, 1996

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

Past

April 16, 1992 - February 12, 1996

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

May 5, 1982 - February 12, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

December 4, 1981 - May 12, 1982

TUCKER ANTHONY INCORPORATED

CRD#: 837

Past

October 14, 1980 - November 5, 1981

MOSELEY SECURITIES CORPORATION

CRD#: 7908

Past

March 28, 1979 - September 15, 1980

FIRST PENNCO SECURITIES, INC.

CRD#: 7198

Past

January 17, 1972 - March 16, 1979

UMIC, INC.

CRD#: 5974

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 12/21/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 6/24/1985

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/19/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 00

Date: 1/10/1972

General Securities Principal Examination

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.

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