Sammuel H. Simcoe

SYM FINANCIAL ADVISORS

Winona Lake, IN 46590

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CRD#: 6350841

Professional summary

Sammuel Heath Simcoe is a registered financial advisor currently at SYM FINANCIAL ADVISORS located in Winona Lake, Indiana.

Sammuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Sammuel has worked at 3 firms and has passed the Series 66, SIE and Series 7 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.

Business: Warsaw Community Schools - Investment Related: No - Business Address: 1 Tiger Lane, Warsaw, IN 46580 - Nature of Business: Civic - Position: Freshmen Boys Basketball Coach - Start Date: 09/07/2022 - Hours/Month: 40 - Hours/Month During Security Trading Hours: 10 - Duties: coach the boys basketball team

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sammuel Heath Simcoe'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

September 16, 2022 - Present

SYM FINANCIAL ADVISORS

Office #1: 801 Park Ave, Winona Lake, IN 46590

RIA

CRD#: 107517

Winona Lake, IN

Past

January 23, 2015 - September 6, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

WARSAW, IN

Past

January 23, 2015 - September 6, 2022

LPL FINANCIAL LLC

CRD#: 6413

WARSAW, IN

Past

July 30, 2014 - September 10, 2014

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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".

SYM FINANCIAL ADVISORS

SYM FINANCIAL ADVISORS | SYM FINANCIAL CORPORATION | SYM FINANCIAL CORP. DBA SYM FINANCIAL ADVISORS | SYM FINANCIAL CORP.

CRD#: 107517 / SEC#: 801-23944

RIA

Registered Investment Advisory firm - (5/15/1985 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

Indiana
(9/16/2022)

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: 8/22/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/29/2014

General Securities Representative Examination

Current Firm

SYM FINANCIAL ADVISORS

SYM FINANCIAL ADVISORS | SYM FINANCIAL CORPORATION | SYM FINANCIAL CORP. DBA SYM FINANCIAL ADVISORS | SYM FINANCIAL CORP.

CRD#: 107517 / SEC#: 801-23944

RIA

Registered Investment Advisory firm - (5/15/1985 Approved)

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Contact information

Main Address

801 Park Ave, Winona Lake, IN 46590

Mailing Address

Phone number

(800) 888-7968

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SYM ADV PART 2A (7/31/2025)

Regulatory assets under management

Total Number of Accounts	5,993
AUM (Assets Under Management)	$ 4,879,622,399

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/20/2024	Cover Page	Report
06/29/2023	Cover Page	Report
12/19/2022	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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Sammuel H. Simcoe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sammuel Heath Simcoe's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EDWARD JONES

Primary Firm SEC Registration

SYM FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 8/22/2014

SIE

Date: 10/1/2018

Series 7

Date: 7/29/2014

Current Firm

SYM FINANCIAL ADVISORS

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SYM FINANCIAL ADVISORS

TRUST BUT VERIFY

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