JK
John W. Koene
HERBERT J. SIMS & CO
Fairfield, CT 06824
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CRD#: 5456931
JK
Professional summary
John William Koene is a registered financial professional currently at HERBERT J. SIMS & CO, INC. located in Fairfield, Connecticut.
John is registered as a RR (Registered Representative) and started their career in finance in 2008. John has worked at 2 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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) - BD
Click below to view John William Koene's 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®
NoneExperience
Current
July 19, 2018 - Present
HERBERT J. SIMS & CO, INC.
Office #1: 2150 Post Road Suite 301, Fairfield, CT 06824Office #2: 8300 Norman Center Drive Suite 100, Bloomington, MN 55437Office #3: 331 Newman Springs Road Building 3, Suite 312- 3rd Floor, Red Bank, NJ 07701BD
CRD#: 3420
Fairfield, CT
Past
January 7, 2008 - July 16, 2018
DAVID LERNER ASSOCIATES, INC.
BD
CRD#: 5397
LAWRENCEVILLE, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(11/18/2020)
RR
Arizona(11/18/2020)
RR
Arkansas(11/18/2020)
RR
California(11/18/2020)
RR
Colorado(11/18/2020)
RR
Connecticut(7/19/2018)
RR
Delaware(11/18/2020)
RR
District of Columbia(11/18/2020)
RR
Florida(11/18/2020)
RR
Georgia(11/18/2020)
RR
Illinois(11/18/2020)
RR
Indiana(11/18/2020)
RR
Iowa(3/7/2025)
RR
Kansas(11/18/2020)
RR
Kentucky(11/18/2020)
RR
Louisiana(11/18/2020)
RR
Maryland(11/18/2020)
RR
Massachusetts(11/18/2020)
RR
Michigan(11/18/2020)
RR
Minnesota(11/18/2020)
RR
Missouri(11/18/2020)
RR
Montana(11/18/2020)
RR
Nebraska(11/18/2020)
RR
Nevada(11/18/2020)
RR
New Hampshire(11/18/2020)
RR
New Jersey(7/19/2018)
RR
New Mexico(11/18/2020)
RR
New York(11/18/2020)
RR
North Carolina(11/18/2020)
RR
Ohio(11/18/2020)
RR
Oregon(2/7/2025)
RR
Pennsylvania(11/18/2020)
RR
Rhode Island(11/18/2020)
RR
South Carolina(11/18/2020)
RR
Tennessee(5/14/2020)
RR
Texas(11/18/2020)
RR
Utah(11/18/2020)
RR
Vermont(11/18/2020)
RR
Virginia(11/18/2020)
RR
Washington(11/18/2020)
RR
Wisconsin(11/18/2020)
RR
Wyoming(11/18/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HJ
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
BD
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)
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.
