John Desimone has been Chief Compliance Officer, President of Peddock Capital Advisors since March 2022, is a control person of the firm and directly owns under 5% of it. John Desimone holds a B.S.B.A. in Business Administration from Bryant University, a Juris Doctorate from the University of Baltimore, a Master of Business Administration from the University of Baltimore and an LL.M. in Taxation from Boston University School of Law.
Peddock Capital Advisors, LLC is a Braintree, MA firm with $836M under management, 173 clients and 5 advisers across 2 offices, as of its June 2026 filing.
John F. DeSimone is President and General Counsel of Peddock Capital Advisors. He has spent over 28 years working with individuals, families, companies and institutions on investment management, tax, corporate finance and estate planning matters. Before joining Peddock Capital, he was a partner and CFO of Dakota Wealth Management and a founding partner of Oakmont Partners, LLC.
John Desimone’s longest registration was 12 years at Dakota Wealth, LLC (2007–2019). Before joining Peddock Capital Advisors in 2021, John Desimone was registered through Dakota Wealth, LLC and Castleguard Wealth Management, LTD.
- – present · 5 yearsBraintree, MA · Adviser representative · Firm CRD 148216
- Dakota Wealth, LLC– · 2 yearsPeabody, MA · Adviser representative · Firm CRD 297987
- Dakota Wealth, LLC– · 12 yearsPeabody, MA · Adviser representative · Firm CRD 141137
- Castleguard Wealth Management, LTD– · 2 yearsBeverly, MA · Adviser representative · Firm CRD 130646
- H.D. Vest Advisory Services, Inc– · 1 yearBeverly, MA · Adviser representative · Firm CRD 104556
- Ernst & Young Investment Advisers LLP– · under a yearBoston, MA · Adviser representative · Firm CRD 110921
Investment adviser representative registrations
John Desimone is registered as an investment adviser representative in Massachusetts, since January 2021.
- MassachusettsSince 22 January 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 12 June 2001 |
| Series 63 | Uniform Securities Agent State Law Examination | 9 October 1996 |
| Series 7 | General Securities Representative Examination | 12 September 1996 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 27 November 1992 |
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- John Frederick Desimone
- CRD
- 2301047
- Firm
- Peddock Capital Advisors · CRD 148216
- Role
- Chief Compliance Officer, President
- Office
- 50 BRAINTREE HILL OFFICE PARK, SUITE 207, Braintree, MA 02184
- Registration
- Investment adviser registration
- In the industry since
- June 2002
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- peddock.com
Where does John Desimone work?
John Desimone has been Chief Compliance Officer, President of Peddock Capital Advisors, LLC since March 2022, and is a control person of the firm.
Is John Desimone a financial advisor?
Yes. John Desimone has a current investment-adviser registration in Massachusetts, through Peddock Capital Advisors since January 2021.
How many years of experience does John Desimone have?
John Desimone has 24 years in the financial industry, since June 2002, across 6 adviser firms.
What exams has John Desimone passed?
John Desimone has passed 4 licensing exams: the Series 6, Series 7, Series 63 and Series 66. The earliest, the Series 6, was passed in November 1992.
Where did John Desimone work before Peddock Capital Advisors?
Before Peddock Capital Advisors, John Desimone was registered through Dakota Wealth, LLC, October 2018 to January 2021; Dakota Wealth, LLC, January 2007 to March 2019; Castleguard Wealth Management, LTD, April 2004 to December 2006; H.D. Vest Advisory Services, Inc, April 2003 to April 2004; Ernst & Young Investment Advisers LLP, April 2002 to April 2003.
Where is John Desimone based?
John Desimone’s registered office is in Braintree, MA.
Is John Desimone registered with FINRA?
No. John Desimone has no current broker registration.
How can I verify John Desimone’s record?
Search CRD 2301047 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes John Desimone’s full registration record.