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Nicholas E. Roberts

HERBERT J. SIMS & CO
Dallas, TX 75225
Some features on this profile are disabled
CRD#: 7320572
NR

Professional summary

Nicholas E Roberts is a registered financial professional currently at HERBERT J. SIMS & CO, INC. located in Dallas, Texas.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2021. Nicholas has worked at 1 firm and has passed the Series 52TO, Series 50, Series 79TO and SIE exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas E Roberts's CRS (Customer Relationship Summary).
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®
None

Experience

Current

March 15, 2021 - Present

HERBERT J. SIMS & CO, INC.

Office #1: 5956 Sherry Lane 20th Floor, Dallas, TX 75225
BD
CRD#: 3420
Dallas, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 52TO
Date: 7/6/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 50
Date: 12/8/2021
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
Series 79TO
Date: 3/13/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/13/2021
Securities Industry Essentials Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TEKSYS CORPORATIONOWNER
DIAMOND, JASON HOWARDCHIEF FINANCIAL OFFICER/MANAGING PRINCIPAL2320884
RULNICK, AARON MDIRECTOR3149315
HEBERT, VALERIECHIEF COMPLIANCE OFFICER4007252
MULLANE, DANIEL JOSEPHMANAGING PRINCIPAL1246435
SANDS, R JEFFREYDIRECTOR4285040
SIMS, WILLIAM BARNETTPRESIDENT/CEO425019

Disclosures

Regulatory Event8
Arbitration2

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.

Company Information

HERBERT J. SIMS & CO, INC.

CRD#: 3420Dallas, TX 75225

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