Lawrence M. Wielgus
Professional summary
Lawrence Michael Wielgus is a registered financial professional currently at HERBERT J. SIMS & CO, INC. located in Red Bank, New Jersey.
Lawrence is registered as a RR (Registered Representative) and started their career in finance in 1981. Lawrence has worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lawrence Michael Wielgus's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 13, 2019 - Present
HERBERT J. SIMS & CO, INC.
Office #1: 331 Newman Springs Road Building 3, Suite 312- 3rd Floor, Red Bank, NJ 07701May 27, 2011 - December 21, 2015
SG AMERICAS SECURITIES, LLC
February 25, 2009 - February 17, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 22, 1986 - November 21, 2008
UBS FINANCIAL SERVICES INC.
February 3, 1984 - January 1, 1987
CITIGROUP GLOBAL MARKETS INC.
March 18, 1982 - February 14, 1984
FINANCIAL SQUARE PARTNERS
March 23, 1981 - March 26, 1982
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
FINRA
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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