Peter Gilman
Professional Summary
Peter Gilman, who also goes by Peter Howard Gilman, is a registered financial advisor currently at ASCENSUS BROKER DEALER SERVICES, LLC located in Lake Mary, Florida. Peter is registered as a RR (Registered Representative) and started their career in finance in 1986. Peter has worked at 8 firms and has passed the Series 63, Series 6TO, SIE, Series 6 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Peter Howard Gilman
Similar Advisors
LPL FINANCIAL LLC
SOUTH BAY FINANCIAL PARTNERS
OSAIC WEALTH, INC.
BKM WEALTH MANAGEMENT
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
SOUTH BAY FINANCIAL PARTNERS
OSAIC WEALTH, INC.
BKM WEALTH MANAGEMENT
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LPL FINANCIAL LLC
SOUTH BAY FINANCIAL PARTNERS
OSAIC WEALTH, INC.
BKM WEALTH MANAGEMENT
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
LPL FINANCIAL LLC
SOUTH BAY FINANCIAL PARTNERS
OSAIC WEALTH, INC.
BKM WEALTH MANAGEMENT
Years of Experience
40 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
LPL FINANCIAL LLC
SOUTH BAY FINANCIAL PARTNERS
OSAIC WEALTH, INC.
BKM WEALTH MANAGEMENT
Current Firm
ASCENSUS BROKER DEALER SERVICES, INC. | UPROMISE INVESTMENTS, INC. | PREMIER MUTUAL FUND SERVICES, INC. | PREMIER DISTRIBUTOR, INC. | ASCENSUS BROKER DEALER SERVICES, LLC
Contact Information
Main Address
140 Kendrick Street Building C Floor 3 Suite C320, Needham, MA 02494Mailing Address
140 Kendrick Street Building C Floor 3 Suite C320, Needham, MA 02494Phone Number
(978) 885-0873Established
Delaware since 01/01/2018Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US 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 | PRINCIPAL OPERATIONS OFFICER | 6218228 |
| GINGOLASKI, DENISE MAKSIMOW | FINANCIAL AND OPERATIONS PRINCIPAL | 6218228 |
| GINGOLASKI, DENISE MAKSIMOW | PRINCIPAL FINANCIAL OFFICER | 6218228 |
| MACINNIS, DAVID BRUCE | CHIEF COMPLIANCE OFFICER | 3184368 |
| MACINNIS, DAVID BRUCE | SECRETARY | 3184368 |
| SHANNON, MICHAEL DOUGLAS | SENIOR VICE PRESIDENT | 1314743 |
Similar Advisors
LPL FINANCIAL LLC
SOUTH BAY FINANCIAL PARTNERS
OSAIC WEALTH, INC.
BKM WEALTH MANAGEMENT
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
LPL FINANCIAL LLC
SOUTH BAY FINANCIAL PARTNERS
OSAIC WEALTH, INC.
BKM WEALTH MANAGEMENT
State Registrations and Notice Filings
(7/18/2023)
(7/18/2023)
(7/18/2023)
(7/18/2023)
(7/18/2023)
(7/18/2023)
(7/19/2023)
(9/6/2023)
(7/18/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jun 2019About the Series 6TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 1999About the Series 6 examSRO Registrations
Similar Advisors
LPL FINANCIAL LLC
SOUTH BAY FINANCIAL PARTNERS
OSAIC WEALTH, INC.
BKM WEALTH MANAGEMENT
CRS (Client Relationship Summary) - BD
Click below to view Peter Gilman's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
SOUTH BAY FINANCIAL PARTNERS
OSAIC WEALTH, INC.
BKM WEALTH MANAGEMENT