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Arthur James Wunder

Herbert J. Sims & CO, Inc.

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About Arthur James Wunder

Arthur James Wunder is a financial professional with over 40 years of experience in the securities industry. Arthur is currently registered with Herbert J. Sims & Co, Inc. in Fairfield, CT. His previous experience includes roles at Sound Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Advest, Inc., RBC Dain Rauscher Inc., Tucker Anthony Incorporated, and SBC Warburg Dillon Read Inc. Arthur holds Series 7, 24, 53, 63, 99TO and SIE licenses and is registered in Connecticut.

Firm Information

Arthur Wunder is currently registered with Herbert J. Sims & CO, Inc.. Herbert J. Sims & CO, Inc. is a Corporation, formed on December 12, 2012. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been involved in 6 regulatory events and 2 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

41

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Arthur Wunder’s Registration & Firm History

CT

04/14/2011 - Present

Herbert J. Sims & CO, Inc. (FAIRFIELD CT)

NY

05/16/2008 - 06/28/2010

SOUND SECURITIES, LLC (JERICHO NY)

NY

03/08/2006 - 06/06/2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

02/04/2005 - 03/08/2006

ADVEST, INC. (NEW YORK NY)

NY

01/02/2002 - 01/24/2005

RBC DAIN RAUSCHER INC. (NEW YORK NY)

MA

09/22/1997 - 01/14/2002

TUCKER ANTHONY INCORPORATED (BOSTON MA)

CT

02/01/1979 - 09/05/1997

SBC WARBURG DILLON READ INC. (STAMFORD CT)

NA

01/12/1978 - 11/18/1978

FIRST PENNCO SECURITIES, INC.

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Licenses & Designations

BC

Issued 01/05/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/22/2006

Series 24 - General Securities Principal Examination

BC

Issued 12/21/1992

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/20/1979

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Arthur James Wunder.
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