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Robert Alan Salles

Herbert J. Sims & CO, Inc.

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About Robert Alan Salles

Robert Alan Salles is a financial advisor with over 30 years of experience in the financial services industry. He is currently registered with Herbert J. Sims & CO, Inc. and has been with the firm since 2002. Prior to joining the firm, Robert worked at Salomon Smith Barney Inc., The GMS Group, L.L.C., J. T. Moran & Co., Inc., Robyns Capital Corp., Hampton Securities, Inc., and Bradstreet Capital, Inc.. Robert is a Series 7, Series 24 and Series 63 licensed professional. He is also a registered representative with FINRA and is licensed to sell securities in 30 states.

Firm Information

Robert Salles 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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Robert Salles’s Registration & Firm History

FL

10/11/2002 - Present

Herbert J. Sims & CO, Inc. (BOCA RATON FL)

NY

05/23/1997 - 10/22/2002

SALOMON SMITH BARNEY INC. (NEW YORK NY)

NJ

01/29/1990 - 05/29/1997

THE GMS GROUP, L.L.C. (EAST HANOVER NJ)

NA

09/12/1989 - 02/24/1990

J. T. MORAN & CO., INC.

NA

03/07/1989 - 09/19/1989

ROBYNS CAPITAL CORP.

NA

09/29/1987 - 04/04/1989

HAMPTON SECURITIES, INC.

NA

06/05/1987 - 10/07/1987

BRADSTREET CAPITAL, INC.

NA

01/09/1987 - 08/29/1987

MORGAN GLADSTONE & CO. INC.

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Licenses & Designations

BC

Issued 01/26/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/28/1988

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/15/1986

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 6 public disclosures for Robert Alan Salles. Review regulatory record here.
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