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Current Employers
Steward Partners Investment Advisory, Llc

400 Atlantic Street Floor 10, Suite 1020, Stamford, CT 06901-3512 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2024-03-22
  • OH RA
    APPROVED
    Since 2024-03-22

Branch Locations

7965 High St Suite 130, Columbus, OH 43235 • United States

400 Atlantic Street Floor 10, Suite 1020, Stamford, CT 06901-3512 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James Financial Services Columbus OH 06/2008 10/2021
Raymond James Financial Services Advisors, Inc Dublin OH 01/2009 10/2021
Saling Simms Associates Columbus OH 01/2014 03/2024
Level Four Financial, Llc Dallas TX 10/2021 03/2024
Steward Partners Global Advisory, Llc Columbus OH 03/2024 Present
Steward Partners Investment Solutions, Llc Columbus OH 03/2024 Present
Steward Partners Investment Advisory, Llc Columbus OH 03/2024 Present
  • 06/2008 → 10/2021
    Raymond James Financial Services
    Columbus, OH
  • 01/2009 → 10/2021
    Dublin, OH
  • 01/2014 → 03/2024
    Saling Simms Associates
    Columbus, OH
  • 10/2021 → 03/2024
    Level Four Financial, Llc
    Dallas, TX
  • 03/2024 → Present
    Steward Partners Global Advisory, Llc
    Columbus, OH
  • 03/2024 → Present
    Steward Partners Investment Solutions, Llc
    Columbus, OH
  • 03/2024 → Present
    Columbus, OH
Previous Registrations
  • 2014-04-01 → 2024-12-31
    Saling, Simms, Associates Inc.
    Columbus, OH
  • 2009-01-02 → 2014-12-31
    Worthington, OH
    Columbus, OH
    Dublin, OH
  • 2008-06-24 → 2009-01-02
    Raymond James Financial Services, Inc.
    Dublin, OH
    Columbus, OH
  • 2005-08-18 → 2008-06-23
    Hrh Investment Advisors, Llc
    Columbus, OH
  • 2004-12-17 → 2005-07-28
    Tower Square Securities, Inc.
    Columbus, OH
  • 2003-11-06 → 2004-12-16
    Columbus, OH
Other Businesses

1) SALING SIMMS ASSOCIATES- NON-VARIABLE INSURANCE - AGENT - NOT INVESTMENT RELATED - 2 HOURS PER MONTH - 2 HOURS DURING TRADING HOURS - SELLING AGENT ASSISTING IN ANNUAL RENEWAL OF 412(E)(3) DEFINED BENEFIT PLAN POLICIES; AN ENROLLED ACTUARY PERFORMS BENEFITS TESTS. 2) Name of Business : Saling Simms Associates Address: 7965 N High St Ste 130,Columbus, OH Nature of the Business: Support Company/DBA (Non-Owner) Position/Title: Advisor Investment Related: No Start Date: 01/01/2014 Hours per month devoted to this business: 120 Hours per month devoted to this business during trading hours: 120 Description of duties: Sales and servicing, qualified retirement plans

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-09-27
S63 Uniform Securities Agent State Law Examination 2003-10-06
  • S66 Uniform Combined State Law Examination
    2004-09-27
  • S63 Uniform Securities Agent State Law Examination
    2003-10-06
Designations
Other Names
  • Peggy Lou Nell
  • Peggy Nell Weaver

View on SEC IAPD

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