Oscar Pina

ASCENT WEALTH MANAGEMENT GROUP

CORAL GABLES, FL 33134

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CRD#: 1528635

Professional summary

Oscar Pina, ChFC® is a registered financial advisor currently at ASCENT WEALTH MANAGEMENT GROUP, LLC located in Coral Gables, Florida.

Oscar is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Oscar has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Independent Insurance Brokering; MetLife; June 2001/ Standard; June 2007/ Principal; July 2011/ Pacific Life; July 2009/ Progressive Insurance Company; March 2009/ National Life Insurance Company; June 2010/ CIGNA; September 2016/ BrightHouse Life Insurance; June 2022; Term Life, Fixed Annuity/Life Insurance of the Southwest: October 2013/National Life of Vermont: June 2025. Property & Casualty Insurance: VP Reliable Insurance Solutions, Inc: January 2024. CJM Insurance Solutions, Inc; President; Investment related: Yes; 1600 Ponce De Leon Blvd Suite 1000 Coral Gables FL 33134; Responsibilities Duties: Operational; Start date: 2025-02-24; Hours per month devoted to business during trading hours: 10; Hours per month devoted to business outside trading hours: 5; Percentage of total yearly compensation expected to be derived from the business: 10%.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Oscar Pina's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

ChFC^®

Chartered Financial Consultant

Experience

Current

May 10, 2023 - Present

ASCENT WEALTH MANAGEMENT GROUP, LLC

Office #1: 1600 Ponce De Leon Blvd Suite 1000, Coral Gables, FL 33134

RIA

CRD#: 325532

CORAL GABLES, FL

Past

October 8, 2013 - May 11, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CORAL GABLES, FL

Past

September 27, 2013 - May 11, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

CORAL GABLES, FL

Past

October 2, 2001 - October 1, 2013

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

CORAL GABLES, FL

Past

October 1, 2001 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

WEST PALM BEACH, FL

Past

October 1, 2001 - October 1, 2013

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

CORAL GABLES, FL

Past

October 12, 1987 - May 29, 1992

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

June 5, 1987 - October 25, 2001

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

July 15, 1986 - July 8, 1987

EQUITY SERVICES, INC.

CRD#: 265

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(5/30/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/27/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/24/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/14/1986

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ASCENT WEALTH MANAGEMENT GROUP, LLC

CRD#: 325532 / SEC#: 801-127763

RIA

Registered Investment Advisory firm - (10/27/2023 Terminated)

Florida

Registered Investment Advisory firm - (10/19/2023 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1600 Ponce De Leon Blvd Suite 1000, Coral Gables, FL 33134

Mailing Address

Phone number

(305) 444-7317

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	152
AUM (Assets Under Management)	$ 36,774,805

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.

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Oscar Pina

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Oscar Pina's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

EQUITY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/27/2013

SIE

Date: 10/1/2018

Series 7

Date: 6/24/2002

Series 6

Date: 7/14/1986

Current Firm

ASCENT WEALTH MANAGEMENT GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ASCENT WEALTH MANAGEMENT GROUP, LLC

TRUST BUT VERIFY

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