Henry F. Goodman
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.
Henry Frank Goodman was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1976. Henry had worked at 10 firms and has passed the Series 63, SIE, PC, Series 7, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2000 - March 1, 2023
HERBERT J. SIMS & CO, INC.
January 14, 1997 - March 1, 2000
GMS GROUP
April 25, 1989 - January 22, 1997
J. B. HANAUER & CO.
September 16, 1986 - April 27, 1989
TUCKER ANTHONY INCORPORATED
January 29, 1986 - September 18, 1986
HALPERT AND COMPANY, INC.
January 23, 1986 - February 10, 1986
EHRLICH-BOBER & CO., INC.
January 31, 1980 - November 27, 1985
UBS FINANCIAL SERVICES INC.
August 2, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
November 20, 1978 - August 23, 1979
SWANTON SECURITIES, INC.
February 24, 1976 - December 24, 1978
UMIC, 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: 9/15/1979
AMEX Put and Call ExamSeries 40
Date: 2/19/1976
Registered 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.
