SS
Stephen E. Simmons
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CRD#: 868997
SS
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephen Edwin Simmons, who also goes by Steve Simmons, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1979. Stephen had worked at 4 firms and has passed the Series 65, Series 63, Series 22TO, Series 6TO, SIE, Series 1 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Steve 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.
1. 05/04/2012: NON-VARIABLE INSURANCE - DAVINCI RISK DESIGNS - SALES OF FIXED LIFE, DISABILITY, UL, INDEXED UL, TERM, AND LONG TERM CARE INSURANCE. - 15% OF TIME - COLUMBIA, SC.
2. 5/17/2012: REGISTERED INVESTMENT ADVISOR - DAVINCI FINANCIAL DESIGNS - FINANCIAL PLANNING - (HYBRID) DAVINCI FINANCIAL DESIGNS - TIME SPENT 87% - COLUMBIA, SC.
3. 1/16/2013: DBA ONLY - DAVINCI FINANCIAL DESIGNS - DBA NAME FOR THE B/D ACTIVITY. - TIME SPENT 5% - COLUMBIA, SC.
4. 10/14/2019 - DaVinci Investment Services - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:09/05/2019 - 0 hrs/mo - 0 hrs during trading.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
January 18, 2013 - August 28, 2023
DAVINCI FINANCIAL DESIGNS
RIA
CRD#: 163362
COLUMBIA, SC
Past
May 17, 2012 - December 31, 2012
DAVINCI FINANCIAL DESIGNS
RIA
CRD#: 163362
COLUMBIA, SC
Past
May 4, 2012 - May 6, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
FOREST ACRES, SC
Past
September 2, 2005 - May 7, 2012
FIRST COMMAND BROKERAGE SERVICES, INC.
RIA
CRD#: 3641
COLUMBIA, SC
Past
August 13, 2004 - September 2, 2005
FIRST COMMAND BANK
RIA
CRD#: 128851
FORT WORTH, TX
Past
July 27, 1979 - May 7, 2012
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
COLUMBIA, SC
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".
DF
DAVINCI FINANCIAL DESIGNS
DAVINCI FINANCIAL DESIGN LLC | GATEWAY FINANCIAL DESIGNS | DAVINCI FINANCIAL DESIGNS LLC | DAVINCI FINANCIAL DESIGNS
CRD#: 163362 / SEC#: 801-80733
RIA
Registered Investment Advisory firm - (2/25/2015 Approved)Florida
Registered Investment Advisory firm - (3/27/2015 Terminated)Georgia
Registered Investment Advisory firm - (3/31/2015 Terminated)Louisiana
Registered Investment Advisory firm - (3/30/2015 Terminated)Maryland
Registered Investment Advisory firm - (4/2/2015 Terminated)New Jersey
Registered Investment Advisory firm - (3/27/2015 Terminated)New York
Registered Investment Advisory firm - (3/27/2015 Terminated)North Carolina
Registered Investment Advisory firm - (3/27/2015 Terminated)South Carolina
Registered Investment Advisory firm - (3/27/2015 Terminated)Texas
Registered Investment Advisory firm - (3/27/2015 Terminated)Virginia
Registered Investment Advisory firm - (3/27/2015 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 7/18/1979
Registered Representative ExaminationPrincipal/Supervisory Exam
Current Firm
DF
DAVINCI FINANCIAL DESIGNS
DAVINCI FINANCIAL DESIGN LLC | GATEWAY FINANCIAL DESIGNS | DAVINCI FINANCIAL DESIGNS LLC | DAVINCI FINANCIAL DESIGNS
CRD#: 163362 / SEC#: 801-80733
RIA
Registered Investment Advisory firm - (2/25/2015 Approved)Florida
Registered Investment Advisory firm - (3/27/2015 Terminated)Georgia
Registered Investment Advisory firm - (3/31/2015 Terminated)Louisiana
Registered Investment Advisory firm - (3/30/2015 Terminated)Maryland
Registered Investment Advisory firm - (4/2/2015 Terminated)New Jersey
Registered Investment Advisory firm - (3/27/2015 Terminated)New York
Registered Investment Advisory firm - (3/27/2015 Terminated)North Carolina
Registered Investment Advisory firm - (3/27/2015 Terminated)South Carolina
Registered Investment Advisory firm - (3/27/2015 Terminated)Texas
Registered Investment Advisory firm - (3/27/2015 Terminated)Virginia
Registered Investment Advisory firm - (3/27/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5301 N. Trenholm Road Suite A, Columbia, SC 29206
Mailing Address
Phone number
(803) 741-0134
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,188 |
| AUM (Assets Under Management) | $ 198,331,653 |
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.
