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Lawrence Michael Wielgus

Herbert J. Sims & CO, Inc.

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About Lawrence Michael Wielgus

Lawrence Wielgus is a financial advisor with Herbert J. Sims & CO, Inc. in Red Bank, NJ. Lawrence is registered with FINRA and has been in the securities industry since December 21, 1985. Lawrence has passed the Series 3, 7, 24 and SIE exams. Lawrence previously worked at SG AMERICAS SECURITIES, LLC, RAYMOND JAMES FINANCIAL SERVICES, INC., UBS FINANCIAL SERVICES INC., SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED, COWEN & CO. and KIDDER, PEABODY & CO. INCORPORATED.

Firm Information

Lawrence Wielgus 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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Lawrence Wielgus’s Registration & Firm History

NJ

03/13/2019 - Present

Herbert J. Sims & CO, Inc. (Red Bank NJ)

NY

05/27/2011 - 12/21/2015

SG AMERICAS SECURITIES, LLC (NEW YORK NY)

NY

02/25/2009 - 02/17/2010

RAYMOND JAMES FINANCIAL SERVICES, INC. (NEW YORK NY)

NJ

12/22/1986 - 11/21/2008

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

NA

02/03/1984 - 01/01/1987

SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED

NA

03/18/1982 - 02/14/1984

COWEN & CO.

NA

03/23/1981 - 03/26/1982

KIDDER, PEABODY & CO. INCORPORATED

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Licenses & Designations

BC

Issued 05/11/1982

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/09/2005

Series 24 - General Securities Principal Examination

BC

Issued 12/21/2015

SIE - Securities Industry Essentials Examination

BC

Issued 10/04/2004

Series 3 - National Commodity Futures Examination

BC

Issued 03/21/1981

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Lawrence Michael Wielgus. Review regulatory record here.
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