John W. Simmons

INVICTA ADVISORS LLC

Crested Butte, CO

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CRD#: 2106286

Professional summary

John Walton Simmons JR, who also goes by Jr John Walton Simmons, is a registered financial advisor currently at INVICTA ADVISORS LLC located in Crested Butte, Colorado and INVICTA CAPITAL LLC located in Oakmont, Pennsylvania.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. John has worked at 9 firms and has passed the Series 63, Series 66, Series 65, Series 79TO, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jr John Walton Simmons

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 Walton Simmons 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

December 11, 2023 - Present

INVICTA ADVISORS LLC

RIA

CRD#: 298868

Crested Butte, CO

Current

May 28, 2024 - Present

INVICTA CAPITAL LLC

Office #1: 527 Cedar Way Suite 101, Oakmont, PA 15139

CRD#: 288101

OAKMONT, PA

Past

August 26, 2015 - November 28, 2023

OVATION PARTNERS, LP

RIA

CRD#: 166145

AUSTIN, TX

Past

March 10, 2014 - August 5, 2014

IWP WEALTH - PRIVATE CLIENT ADVISORS

RIA

CRD#: 168113

DENVER, CO

Past

June 8, 2012 - July 31, 2013

BRITEHORN SECURITIES

CRD#: 36402

DENVER, CO

Past

November 17, 2005 - June 1, 2011

MORGAN STANLEY INVESTMENT ADVISORS INC.

RIA

CRD#: 104525

ATLANTA, GA

Past

October 22, 2003 - September 19, 2006

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

August 27, 2003 - June 5, 2012

MORGAN STANLEY DISTRIBUTION, INC.

CRD#: 30344

ATLANTA, GA

Past

June 11, 2001 - October 21, 2003

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

WEST CONSHOHOCKEN, PA

Past

March 22, 2001 - October 21, 2003

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

November 29, 1990 - August 6, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

INVICTA ADVISORS LLC

CRD#: 298868 / SEC#: 801-114114

RIA

Registered Investment Advisory firm - (10/12/2018 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Pennsylvania
(12/11/2023)

Pennsylvania
(8/20/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 8/19/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/24/2013

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/13/2001

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 79TO

Date: 3/4/2024

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 2/12/2024

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/2/1993

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/27/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/17/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

INVICTA ADVISORS LLC

CRD#: 298868 / SEC#: 801-114114

RIA

Registered Investment Advisory firm - (10/12/2018 Approved)

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Contact information

Main Address

527 Cedar Way Suite 101, Oakmont, PA 15139

Mailing Address

Phone number

(412) 349-8684

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (3/10/2025)

Regulatory assets under management

Total Number of Accounts	1,371
AUM (Assets Under Management)	$ 183,496,330

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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Firm Stability Insights

John W. Simmons

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Walton Simmons JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVICTA CAPITAL LLC

OVATION PARTNERS, LP

IWP WEALTH - PRIVATE CLIENT ADVISORS

BRITEHORN SECURITIES

MORGAN STANLEY INVESTMENT ADVISORS INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DISTRIBUTION, INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

INVICTA ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/19/2024

Series 66

Date: 4/24/2013

Series 65

Date: 11/13/2001

Series 79TO

Date: 3/4/2024

SIE

Date: 2/12/2024

Series 31

Date: 12/2/1993

Series 7

Date: 11/27/1990

Series 24

Date: 11/17/2009

FINRA

Current Firm

INVICTA ADVISORS LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INVICTA ADVISORS LLC

TRUST BUT VERIFY

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