John M. Simms

PIEDMONT CAPITAL MANAGEMENT

Greenboro, NC 27408

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CRD#: 1409264

Professional summary

John Meredith Simms JR is a registered financial advisor currently at PIEDMONT CAPITAL MANAGEMENT, LLC located in Greenboro, North Carolina.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. John has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Meredith Simms JR'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

October 27, 2011 - Present

PIEDMONT CAPITAL MANAGEMENT, LLC

Office #1: 800 Green Valley Rd., Ste 203, Greenboro, NC 27408

RIA

CRD#: 155682

Greenboro, NC

Past

June 30, 2008 - January 6, 2009

GFO ADVISORY SERVICES, LLC

RIA

CRD#: 109278

ORLANDO, FL

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".

PIEDMONT CAPITAL MANAGEMENT, LLC

PIEDMONT CAPITAL MANAGEMENT, LLC | PIEDMONT FINANCIAL TRUST COMPANY

CRD#: 155682 / SEC#: 801-110286

RIA

Registered Investment Advisory firm - (4/5/2017 Approved)

North Carolina

Registered Investment Advisory firm - (4/10/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

North Carolina
(10/27/2011)

IAR

Texas
(8/27/2021)

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

IAR

Series 65

Date: 7/3/1996

Uniform Investment Adviser Law Examination

Current Firm

PIEDMONT CAPITAL MANAGEMENT, LLC

PIEDMONT CAPITAL MANAGEMENT, LLC | PIEDMONT FINANCIAL TRUST COMPANY

CRD#: 155682 / SEC#: 801-110286

RIA

Registered Investment Advisory firm - (4/5/2017 Approved)

North Carolina

Registered Investment Advisory firm - (4/10/2017 Terminated)

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Contact information

Main Address

800 Green Valley Rd., Ste 203, Greenboro, NC 27408

Mailing Address

P O Box 20124, Greensboro, NC 27420

Phone number

(336) 274-5471

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PCM ADV PART 2A (3/14/2025)

Regulatory assets under management

Total Number of Accounts	206
AUM (Assets Under Management)	$ 407,650,320

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/15/2025	Cover Page	Report
08/26/2024	Cover Page	Report
09/21/2023	Cover Page	Report

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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John M. Simms

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Meredith Simms JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

PIEDMONT CAPITAL MANAGEMENT, LLC

GFO ADVISORY SERVICES, LLC

Primary Firm SEC Registration

PIEDMONT CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/3/1996

Current Firm

PIEDMONT CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PIEDMONT CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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