Arthur J. Wunder
Professional summary
Arthur James Wunder is a registered financial professional currently at HERBERT J. SIMS & CO, INC. located in Fairfield, Connecticut.
Arthur is registered as a RR (Registered Representative) and started their career in finance in 1978. Arthur has worked at 9 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Arthur James Wunder's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 14, 2011 - Present
HERBERT J. SIMS & CO, INC.
Office #1: 2150 Post Road Suite 301, Fairfield, CT 06824January 26, 2009 - November 20, 2019
BRAINTREE CAPITAL PARTNERS, LLC
May 16, 2008 - June 28, 2010
SOUND SECURITIES, LLC
March 8, 2006 - June 6, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 4, 2005 - March 8, 2006
ADVEST, INC.
January 2, 2002 - January 24, 2005
RBC CAPITAL MARKETS, LLC
September 22, 1997 - January 14, 2002
TUCKER ANTHONY INCORPORATED
February 1, 1979 - September 5, 1997
SBC WARBURG DILLON READ INC.
January 12, 1978 - November 18, 1978
FIRST PENNCO SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/14/2011)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional 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 |
Red Flags
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