David C. Saustad
Professional summary
David C. Saustad JR, who also goes by David C. Saustad, is a registered financial professional currently at HERBERT J. SIMS & CO, INC. located in Rockville, Maryland.
David is registered as a RR (Registered Representative) and started their career in finance in 2022. David has worked at 1 firm and has passed the Series 52TO, Series 79TO, SIE and Series 50 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David C. Saustad JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 12, 2022 - Present
HERBERT J. SIMS & CO, INC.
Office #1: 11140 Rockville Pike Suite 630, Rockville, MD 20852State 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 52TO
Date: 12/9/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 2/12/2022
Investment Banking Registered Representative 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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