Stephen N. Jimenez

PEERLESS WEALTH

Spring, TX

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CRD#: 1260221

Professional summary

Stephen N/a Jimenez, who also goes by Stephen N/a Jimenez, Stephen Jimenez, is a registered financial advisor currently at PEERLESS WEALTH located in Spring, Texas.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Stephen has worked at 19 firms and has passed the Series 63, Series 66, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen N/a Jimenez | Stephen Jimenez

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) Peerless ETFs, LLC, (Peerless Option Income Wheel ETF (WEEL)), Columbus, Ohio 43235, wholesaler, 10-15 hours per week Monday-Friday. Compensation is based on performance and paid via commission, Start Date 03/18/25 2) Gore Range Capital, Southlake TX 76092. Role: Sales Consultant, time 10-15 hours per week Monday-Friday. Compensation is monthly consulting fee. Start Date 03/01/25

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen N/a Jimenez's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 18, 2025 - Present

PEERLESS WEALTH

RIA

CRD#: 305807

Spring, TX

Past

March 8, 2024 - March 21, 2024

BRADLEY WOODS & CO. LTD.

CRD#: 13660

NEW YORK, NY

Past

May 11, 2023 - February 27, 2024

CALAMAR FINANCIAL GROUP, LLC

CRD#: 283992

AMHERST, NY

Past

March 8, 2023 - March 27, 2023

PRIMUS FINANCIAL SERVICES, LLC

CRD#: 307060

ORLANDO, FL

Past

January 5, 2023 - March 27, 2023

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 144426

SPRING, TX

Past

January 5, 2023 - March 27, 2023

INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645

SPRING, TX

Past

October 29, 2021 - October 6, 2022

CALAMAR FINANCIAL GROUP, LLC

CRD#: 283992

AMHERST, NY

Past

February 9, 2021 - February 4, 2022

CITY DIFFERENT INVESTMENTS

RIA

CRD#: 310982

SANTA FE, NM

Past

May 2, 2014 - February 11, 2020

THORNBURG INVESTMENT MANAGEMENT INC

RIA

CRD#: 106357

SANTA FE, NM

Past

February 6, 2014 - February 11, 2020

THORNBURG SECURITIES LLC

CRD#: 14857

SANTA FE, NM

Past

September 4, 2013 - February 12, 2014

MANORHAVEN CAPITAL LLC

CRD#: 44965

NEW YORK, NY

Past

May 7, 2010 - June 4, 2012

AVM, L.P.

CRD#: 16710

BOCA RATON, FL

Past

August 14, 2006 - December 8, 2008

COAST ASSET SECURITIES LLC

CRD#: 29319

SANTA MONICA, CA

Past

December 15, 2004 - May 17, 2005

CAPITAL SOLUTIONS DISTRIBUTORS, LLC

CRD#: 132315

CORTE MADERA, CA

Past

November 20, 2001 - July 16, 2002

SEATTLE-NORTHWEST SECURITIES CORPORATION

CRD#: 10639

SEATTLE, WA

Past

September 28, 1994 - August 29, 1995

JIMENEZ SECURITIES, INC.

CRD#: 36794

Past

November 9, 1993 - April 27, 1994

COAST ASSET SECURITIES LLC

CRD#: 29319

SANTA MONICA, CA

Past

February 21, 1990 - October 15, 1991

NATWEST MARKETS SECURITIES INC.

CRD#: 11707

STAMFORD, CT

Past

September 22, 1987 - April 17, 1989

RMG CAPITAL L.P.

CRD#: 19923

Past

October 17, 1986 - July 29, 1987

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

April 18, 1984 - February 27, 1986

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PEERLESS WEALTH

PEERLESS WEALTH | PW | PEERLESS WEALTH LLC

CRD#: 305807 / SEC#: 801-129909

RIA

Registered Investment Advisory firm - (4/11/2024 Approved)

Ohio

Registered Investment Advisory firm - (12/10/2019 Approved)

Texas

Registered Investment Advisory firm - (12/4/2023 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Ohio
(4/3/2025)

IAR

Texas
(3/18/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 3/3/2023

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/30/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/10/2013

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/14/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/16/1993

General Securities Principal Examination

Current Firm

PEERLESS WEALTH

PEERLESS WEALTH | PW | PEERLESS WEALTH LLC

CRD#: 305807 / SEC#: 801-129909

RIA

Registered Investment Advisory firm - (4/11/2024 Approved)

Ohio

Registered Investment Advisory firm - (12/10/2019 Approved)

Texas

Registered Investment Advisory firm - (12/4/2023 Approved)

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Contact information

Main Address

1 E. Campus View Blvd., Suite 210, Columbus, OH 43235

Mailing Address

Phone number

(614) 824-2824

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PW ADV PART 2A (3/18/2025)

Regulatory assets under management

Total Number of Accounts	404
AUM (Assets Under Management)	$ 102,228,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Stephen N. Jimenez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen N/a Jimenez's CRS (Customer Relationship Summary).

Certified licenses

Experience

BRADLEY WOODS & CO. LTD.

CALAMAR FINANCIAL GROUP, LLC

PRIMUS FINANCIAL SERVICES, LLC

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

INTERNATIONAL ASSETS ADVISORY, LLC

CALAMAR FINANCIAL GROUP, LLC

CITY DIFFERENT INVESTMENTS

THORNBURG INVESTMENT MANAGEMENT INC

THORNBURG SECURITIES LLC

MANORHAVEN CAPITAL LLC

AVM, L.P.

COAST ASSET SECURITIES LLC

CAPITAL SOLUTIONS DISTRIBUTORS, LLC

SEATTLE-NORTHWEST SECURITIES CORPORATION

JIMENEZ SECURITIES, INC.

COAST ASSET SECURITIES LLC

NATWEST MARKETS SECURITIES INC.

RMG CAPITAL L.P.

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

PEERLESS WEALTH

State Registrations and Notice Filings

Exams

Series 63

Date: 3/3/2023

Series 66

Date: 4/30/2014

SIE

Date: 10/1/2018

Series 3

Date: 8/10/2013

Series 7

Date: 4/14/1984

Series 24

Date: 3/16/1993

Current Firm

PEERLESS WEALTH

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PEERLESS WEALTH

TRUST BUT VERIFY

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