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Steven Simmerman
30 Years of Experience
Ashland, KY
5 DisclosuresBroker
Steven Simmerman is a registered investment advisor at Raymond James & Associates, INC., based in Ashland, KY, with 30 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
1600 Carter Avenue, Ashland, KY, 41101
Get directionsHistory
Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2006Settled
Customer Dispute
October 2000Settled
Customer Dispute
March 1999Settled
Customer Dispute
September 1998Denied
Customer Dispute
September 1998Settled
Other Business Activities
Steven is a partner in Lightning Properties LLC since 2007, helping approve real estate leasing decisions. He dedicates a few hours per week to this business.
Employment History
Current Registrations
Raymond James & Associates, INC.
April 2007 - Present · 19 yrs 1 mo
Raymond James & Associates, INC.Broker
March 2007 - Present · 19 yrs 2 mos
Previous Registrations
Merrill Lynch Pierce Fenner & Smith INC.
April 1995 - March 2007 · 11 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 1995 - March 2007 · 11 yrs 11 mos
State Registrations21 states
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AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.