Laurence C. Greene
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.
Laurence Charles Greene was a registered financial professional .
Laurence is a previously registered financial professional and started their career in finance in 1980. Laurence had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2002 - January 3, 2018
HERBERT J. SIMS & CO, INC.
April 29, 2002 - June 10, 2002
RYAN BECK & CO.
April 16, 1999 - May 17, 2002
GRUNTAL & CO., L.L.C.
October 20, 1989 - April 30, 1999
A. F. BEST SECURITIES, INC.
May 14, 1987 - October 12, 1989
PURCELL GRAHAM INCORPORATED
June 4, 1984 - May 11, 1987
J. B. HANAUER & CO.
August 18, 1982 - May 29, 1984
UBS FINANCIAL SERVICES INC.
May 17, 1980 - August 17, 1982
J. B. HANAUER & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
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
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.
