George S. Williamson
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.
George Stephen Williamson JR, who also goes by George Stephen Williamson, Steve Williamson, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1977. George had worked at 12 firms and has passed the Series 63, SIE, PC, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2016 - December 21, 2022
HERBERT J. SIMS & CO, INC.
September 26, 2012 - July 25, 2016
OPPENHEIMER & CO. INC.
March 30, 2007 - October 17, 2012
HILLTOP SECURITIES INC.
March 16, 2004 - April 9, 2007
TD WEALTH MANAGEMENT SERVICES INC.
March 9, 2002 - March 26, 2004
RBC CAPITAL MARKETS, LLC
January 28, 1999 - March 9, 2002
TUCKER ANTHONY INCORPORATED
February 6, 1991 - January 22, 1999
HOPPER SOLIDAY & CO., INC.
January 10, 1990 - June 25, 1991
W.H. NEWBOLD'S SON & CO., INC.
August 23, 1985 - January 27, 1990
J.P. MORGAN SECURITIES LLC
March 18, 1980 - October 18, 1985
L. F. ROTHSCHILD & CO. INCORPORATED
February 22, 1978 - April 14, 1980
LEHMAN BROTHERS KUHN LOEB INCORPORATED
January 3, 1977 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
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: 4/1/1980
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.
