Peter James Nerone
Professional Summary
Peter James Nerone is a registered financial advisor currently at MM ASCEND LIFE INVESTOR SERVICES, LLC located in Cincinnati, Ohio. Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Peter has worked at 3 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 14, Series 27, Series 4, Series 53, Series 24 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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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.
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Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
AAG SECURITIES, INC. | MM ASCEND LIFE INVESTOR SERVICES, LLC | GREAT AMERICAN ADVISORS, LLC | GREAT AMERICAN ADVISORS, INC. | GREAT AMERICAN ADVISORS LLC | GAA INSURANCE AGENCY
Contact Information
Main Address
191 Rosa Parks 12th Floor, Cincinnati, OH 45202Mailing Address
191 Rosa Parks 12th Floor, Cincinnati, OH 45202Phone Number
(513) 361-9525Established
Ohio since 06/24/2021Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
12FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
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(8/22/1994)
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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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jun 1989About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jul 1994About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Peter James Nerone's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Peter James Nerone's CRS (Customer Relationship Summary).
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