LA
Larry J. Ames
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CRD#: 1295093
LA
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.
Larry Jon Ames was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1984. Larry had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
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
October 23, 2000 - May 2, 2002
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
CINCINNATI, OH
Past
August 6, 1998 - January 2, 2001
STERLING FINANCIAL INVESTMENT GROUP, INC.
BD
CRD#: 41506
BOCA RATON, FL
Past
May 5, 1993 - July 10, 1998
CARDINAL CAPITAL MANAGEMENT, INC.
BD
CRD#: 24605
MIAMI, FL
Past
June 21, 1988 - April 2, 1993
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
October 4, 1984 - June 27, 1988
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
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
Principal/Supervisory Exam
Current Firm
MA
MM ASCEND LIFE INVESTOR SERVICES, LLC
AAG SECURITIES, INC. | MM ASCEND LIFE INVESTOR SERVICES, LLC | GREAT AMERICAN ADVISORS, LLC | GREAT AMERICAN ADVISORS, INC. | GREAT AMERICAN ADVISORS LLC | GAA INSURANCE AGENCY
CRD#: 36451 / SEC#: 801-68927, 8-47309
RIA
Registered Investment Advisory firm - SEC (3/31/2012 Terminated)Alabama
Registered Investment Advisory firm - SEC (4/18/2008 Terminated)Arizona
Registered Investment Advisory firm - SEC (11/27/2023 Terminated)Arkansas
Registered Investment Advisory firm - SEC (4/10/2008 Terminated)California
Registered Investment Advisory firm - SEC (4/10/2008 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/14/2008 Terminated)Connecticut
Registered Investment Advisory firm - SEC (4/10/2008 Terminated)Delaware
Registered Investment Advisory firm - SEC (8/29/2018 Terminated)Georgia
Registered Investment Advisory firm - SEC (11/29/2023 Terminated)Idaho
Registered Investment Advisory firm - SEC (4/11/2008 Terminated)Illinois
Registered Investment Advisory firm - SEC (4/1/2008 Terminated)Indiana
Registered Investment Advisory firm - SEC (4/21/2008 Terminated)Iowa
Registered Investment Advisory firm - SEC (4/14/2008 Terminated)Louisiana
Registered Investment Advisory firm - SEC (6/24/2008 Terminated)Maryland
Registered Investment Advisory firm - SEC (9/14/2018 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (6/17/2008 Terminated)Michigan
Registered Investment Advisory firm - SEC (12/4/2023 Terminated)Mississippi
Registered Investment Advisory firm - SEC (4/10/2008 Terminated)Montana
Registered Investment Advisory firm - SEC (4/10/2008 Terminated)Nevada
Registered Investment Advisory firm - SEC (5/14/2008 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2008 Terminated)New Mexico
Registered Investment Advisory firm - SEC (4/10/2008 Terminated)North Carolina
Registered Investment Advisory firm - SEC (11/30/2023 Terminated)North Dakota
Registered Investment Advisory firm - SEC (4/14/2008 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/12/2011 Approved)Oklahoma
Registered Investment Advisory firm - SEC (4/30/2008 Terminated)Oregon
Registered Investment Advisory firm - SEC (4/10/2008 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/27/2023 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (12/1/2023 Terminated)South Carolina
Registered Investment Advisory firm - SEC (11/27/2023 Terminated)South Dakota
Registered Investment Advisory firm - SEC (4/10/2008 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/10/2008 Terminated)Texas
Registered Investment Advisory firm - SEC (4/10/2008 Terminated)Utah
Registered Investment Advisory firm - SEC (11/27/2023 Terminated)Virginia
Registered Investment Advisory firm - SEC (4/1/2008 Terminated)Washington
Registered Investment Advisory firm - SEC (4/10/2008 Terminated)West Virginia
Registered Investment Advisory firm - SEC (4/10/2008 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (4/10/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
191 Rosa Parks 12th Floor, Cincinnati, OH 45202
Mailing Address
191 Rosa Parks 12th Floor, Cincinnati, OH 45202
Phone number
(513) 361-9525
Established
Ohio since 06/24/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
12
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
