John F. Desimone

PEDDOCK CAPITAL ADVISORS

Braintree, MA 02184

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CRD#: 2301047

Professional summary

John Frederick Desimone, CFP®, CIMA® is a registered financial advisor currently at PEDDOCK CAPITAL ADVISORS, LLC located in Braintree, Massachusetts.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. John has worked at 12 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

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.

(1.) JOHN DESIMONE IS ALSO INVOLVED IN JFD ASSOCIATES, PLLC; WENHAM, MA; LLC; INVESTMENT RELATED: NO; NATURE OF ENTITY: LAW PRACTICE; TITLE: ATTORNEY; START DATE: 01/2021; NUMBER OF HOURS A MONTH DEVOTED: 10HRS/MO; DUTIES: PRACTICE OF LAW; OWNERSHIP: YES; INVOLVED IN OBA: YES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Frederick Desimone'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®

CFP^®

Certified Financial Planner

Start date: 2002

CIMA^®

Certified Investment Management Analyst

Experience

Current

January 22, 2021 - Present

PEDDOCK CAPITAL ADVISORS, LLC

Office #1: 50 Braintree Hill Office Park Suite 207, Braintree, MA 02184

RIA

CRD#: 148216

Braintree, MA

Past

October 10, 2018 - January 18, 2021

DAKOTA WEALTH, LLC

RIA

CRD#: 297987

PEABODY, MA

Past

January 31, 2007 - March 25, 2019

DAKOTA WEALTH, LLC

RIA

CRD#: 141137

Peabody, MA

Past

April 7, 2004 - July 30, 2004

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

ALBANY, NY

Past

April 2, 2004 - December 31, 2006

CASTLEGUARD WEALTH MANAGEMENT, LTD

RIA

CRD#: 130646

BEVERLY, MA

Past

April 24, 2003 - April 26, 2004

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

BEVERLY, MA

Past

April 9, 2003 - April 23, 2004

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

April 26, 2002 - April 4, 2003

ERNST & YOUNG INVESTMENT ADVISERS LLP

RIA

CRD#: 110921

BOSTON, MA

Past

May 25, 2001 - April 16, 2002

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

June 12, 1998 - December 31, 1998

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

February 13, 1997 - September 26, 1997

ROBERTSON STEPHENS, INC.

CRD#: 41271

SAN FRANCISCO, CA

Past

January 12, 1993 - January 21, 1993

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

January 12, 1993 - February 1, 1993

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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".

PEDDOCK CAPITAL ADVISORS, LLC

CRD#: 148216 / SEC#: 801-69611

RIA

Registered Investment Advisory firm - (10/8/2008 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

Massachusetts
(1/22/2021)

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 66

Date: 6/12/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/9/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/12/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/27/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PEDDOCK CAPITAL ADVISORS, LLC

CRD#: 148216 / SEC#: 801-69611

RIA

Registered Investment Advisory firm - (10/8/2008 Approved)

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Contact information

Main Address

50 Braintree Hill Office Park Suite 207, Braintree, MA 02184

Mailing Address

Phone number

(781) 848-0288

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PEDDOCK CAPITAL ADVISORS, LLC DISCLOSURE BROCHURE (7/25/2025)

Regulatory assets under management

Total Number of Accounts	461
AUM (Assets Under Management)	$ 731,548,995

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/24/2024	Cover Page	Report
12/21/2023	Cover Page	Report
11/01/2022	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 F. Desimone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Frederick Desimone's CRS (Customer Relationship Summary).

Certified licenses

Experience

DAKOTA WEALTH, LLC

DAKOTA WEALTH, LLC

PURSHE KAPLAN STERLING INVESTMENTS

CASTLEGUARD WEALTH MANAGEMENT, LTD

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

ERNST & YOUNG INVESTMENT ADVISERS LLP

FIDELITY BROKERAGE SERVICES LLC

FIDELITY BROKERAGE SERVICES LLC

ROBERTSON STEPHENS, INC.

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

PEDDOCK CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/12/2001

Series 63

Date: 10/9/1996

Series 7

Date: 9/12/1996

Series 6

Date: 11/27/1992

Current Firm

PEDDOCK CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PEDDOCK CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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