Leslie B. 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.
Leslie Brian Goodman, who also goes by Les Goodman, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 1976. Leslie had worked at 8 firms and has passed the Series 63, Series 7TO, SIE, 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 4, 2000 - January 6, 2025
HERBERT J. SIMS & CO, INC.
November 2, 1988 - February 8, 2000
GMS GROUP
July 31, 1985 - January 27, 1988
GMS GROUP
July 31, 1985 - December 31, 1988
MOORE & SCHLEY, CAMERON & CO.
April 23, 1985 - July 24, 1985
E. F. HUTTON & COMPANY INC
April 8, 1980 - April 10, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
August 10, 1979 - April 28, 1980
HANAUER, STERN & COMPANY,INCORPORATED
December 6, 1978 - August 22, 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 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.
