Philip C. Gildersleeve
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.
Philip Christopher Gildersleeve, who also goes by Philip C Gildersleeve, Philip Gildersleeve, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1976. Philip had worked at 5 firms and has passed the Series 63, Series 7, Series 3 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2011 - December 11, 2012
HERBERT J. SIMS & CO, INC.
July 8, 2010 - November 2, 2010
HERBERT J. SIMS & CO, INC.
June 4, 2001 - July 1, 2003
MMA SECURITIES LLC
July 26, 1984 - September 25, 1986
LEHMAN BROTHERS INC.
June 21, 1979 - June 13, 1994
HIMCO DISTRIBUTION SERVICES COMPANY
May 6, 1976 - June 1, 1979
SENTRY EQUITY SERVICES, 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 1
Date: 4/29/1976
Registered Representative 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.
