Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Julianne? Claim Your ProfileJulianne James Smith is a registered representative with Herbert J. Sims & CO, Inc. Julianne has been in the securities industry since 1987 and has been registered with Herbert J. Sims & CO, Inc. since 2011. Julianne has a Series 7, Series 63 and a SIE license. Julianne has been registered in Connecticut since 2011. Previously Julianne has worked at Tullett Liberty Securities LLC, Chapdelaine Corporate Securities & Co, Cantor, Fitzgerald Corporate Brokers, Inc. and E.F. Hutton & Company Inc.
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.
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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2
CT
10/06/2011 - Present
Herbert J. Sims & CO, Inc. (FAIRFIELD CT)
NY
01/03/2007 - 11/07/2008
TULLETT LIBERTY SECURITIES LLC (NEW YORK NY)
NY
05/15/1989 - 03/19/2007
CHAPDELAINE CORPORATE SECURITIES & CO (NEW YORK NY)
NY
06/25/1987 - 05/08/1989
CANTOR, FITZGERALD CORPORATE BROKERS, INC. (NEW YORK NY)
NA
04/29/1987 - 07/21/1987
E. F. HUTTON & COMPANY INC
BC
Issued 07/30/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/25/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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