Peter H. Gilman
Professional summary
Peter Howard Gilman, who also goes by Peter Howard Gilman, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Peter Howard Gilman's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 18, 2023 - Present
ASCENSUS BROKER DEALER SERVICES, LLC
Office #1: 300 Primera Blvd. Suite 200, Lake Mary, FL 32746June 25, 2019 - September 6, 2023
NEWPORT GROUP SECURITIES, INC.
July 12, 2011 - November 11, 2011
FIRST ALLIED SECURITIES, INC.
November 12, 2007 - July 13, 2009
TRANSAMERICA CAPITAL, LLC
November 23, 1999 - November 28, 2007
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 28, 1986 - February 8, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 28, 1986 - February 9, 1988
EQUITABLE ADVISORS, LLC
September 26, 1986 - October 31, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(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
Series 6TO
Date: 6/25/2019
Investment Company Products/Variable Contracts Representative ExaminationFINRA
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
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