James C. Cahill
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.
James Clark Cahill, who also goes by Rick Cahill, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1975. James had worked at 14 firms and has passed the Series 63, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2013 - July 30, 2013
HERBERT J. SIMS & CO, INC.
June 4, 2012 - February 6, 2013
THE WILLIAMS CAPITAL GROUP, L.P.
February 5, 2008 - April 5, 2012
LEBENTHAL & CO., LLC
May 22, 2007 - March 4, 2008
IDB CAPITAL CORP.
January 31, 2006 - May 17, 2007
ALTA CAPITAL GROUP, LLC
January 3, 2006 - February 1, 2006
MESIROW FINANCIAL, INC.
May 10, 1996 - January 4, 2006
ADVEST, INC.
August 3, 1993 - August 24, 1994
GMS GROUP
May 7, 1992 - August 13, 1993
M. R. BEAL & COMPANY
September 8, 1983 - November 9, 1990
PRUCO SECURITIES, LLC.
September 19, 1979 - July 27, 1983
PRUDENTIAL EQUITY GROUP, LLC
July 20, 1978 - August 27, 1979
WILSON WHITE, BELF, LAKE, ROCHLIN & CO.
September 16, 1977 - August 10, 1978
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
November 12, 1975 - August 27, 1976
HALSEY, STUART & CO., INC.
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
PC
Date: 5/13/1996
AMEX Put and Call ExamCurrent 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.
