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JOHN L SIMMONS
JOHN SIMMONS
CRD#: 3174471
IA
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SHEPHERD FINANCIAL INVESTMENT ADVISORY LLCCRD#: 288623 111 CONGRESSIONAL BLVD.,
SUITE 100
CARMEL, IN 46032
SUITE 100
CARMEL, IN 46032
LINCOLN INVESTMENTCRD#: 519 111 Congressional Blvd.
Suite 100
Carmel, IN 46032
Suite 100
Carmel, IN 46032
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Disclosures
26
Years of Experience
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State Registrations
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Arizona 8/17/2017
B
Kansas 9/18/2017
B
Florida 8/17/2017
B
Michigan 1/3/2019
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Indiana 8/17/2017
B
New York 8/17/2017
B
Indiana 8/22/2017
SRO Registrations
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Registered with this firm since 6/1/2021
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Registered with this firm since 8/17/2017
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Registered with this firm since 8/17/2017
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Registered with this firm since 8/17/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/31/2008 - 08/22/2017 | INDIANAPOLIS, IN | |
B | 10/31/2008 - 08/22/2017 | INDIANAPOLIS, IN | |
IA | 08/03/2001 - 10/31/2008 | FISHERS, IN | |
B | 10/01/2002 - 10/31/2008 | FISHERS, IN | |
B | 01/22/1999 - 10/01/2002 | HOUSTON, TX |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.