Debra S. Gilboy
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.
Debra Sue Allison Gilboy, who also goes by Debra Sue Allison, Debra Allison Gilboy, was a registered financial professional .
Debra is a previously registered financial professional and started their career in finance in 1980. Debra had worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24, Series 27 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2017 - June 16, 2023
HERBERT J. SIMS & CO, INC.
April 1, 1999 - December 18, 2017
P.R. GILBOY & ASSOCIATES, INC.
February 25, 1987 - June 17, 1989
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 28, 1985 - April 8, 1986
THE ROBINSON-HUMPHREY COMPANY, LLC
November 13, 1981 - October 4, 1984
SALOMON BROTHERS INC.
April 9, 1981 - November 17, 1981
BLUNT ELLIS & LOEWI INCORPORATED
April 24, 1980 - March 6, 1981
PRUDENTIAL EQUITY GROUP, LLC
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 2/12/1999
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent 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.
