Patricia L. Avers
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.
Patricia Lynn Avers, who also goes by Patti Avers, Patricia L Parsons, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1983. Patricia had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2009 - October 3, 2023
ASCENSUS BROKER DEALER SERVICES, LLC
November 12, 2008 - May 5, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
November 11, 2008 - May 5, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
March 20, 2002 - July 29, 2008
WELLS FARGO INVESTMENTS, LLC
April 12, 2001 - August 13, 2002
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - July 29, 2008
WELLS FARGO INVESTMENTS, LLC
November 7, 1995 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
October 16, 1995 - November 7, 1995
WELLS FARGO BROKERAGE SERVICES, L.L.C.
February 8, 1995 - October 20, 1995
ESSEX NATIONAL SECURITIES, LLC
January 6, 1992 - September 1, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 26, 1983 - February 22, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ASCENSUS BROKER DEALER SERVICES, LLC
CRD#: 36478 / SEC#: , 8-47312
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASCENSUS, LLC | 100% STOCKHOLDER OF ASCENSUS BROKER DEALER SERVICES, LLC | |
| DUNN, MICHAEL SEAN | SENIOR VICE PRESIDENT | 3045371 |
| FOLMER, MICHAEL ROBERT | TREASURER AND VICE PRESIDENT, TAX AND FINANCE | 5655451 |
| GEARIN, JAMES M | PRESIDENT | 1405150 |
| GINGOLASKI, DENISE MAKSIMOW | FINANCIAL AND OPERATIONS PRINCIPAL | 6218228 |
| GINGOLASKI, DENISE MAKSIMOW | PRINCIPAL FINANCIAL OFFICER | 6218228 |
| GINGOLASKI, DENISE MAKSIMOW | PRINCIPAL OPERATIONS OFFICER | 6218228 |
| KAPLAN, ROBERT BARRY | SECRETARY | 1286735 |
| KAPLAN, ROBERT BARRY | CHIEF COMPLIANCE OFFICER | 1286735 |
| SHANNON, MICHAEL DOUGLAS | SENIOR VICE PRESIDENT | 1314743 |
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.
