PN
Peter J. Nerone
MM ASCEND LIFE INVESTOR SERVICES
CINCINNATI, OH 45202
Some features on this profile are disabled
CRD#: 1953641
PN
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 Series 26 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.
1.) MassMutual Ascend Life Insurance Company (MMALIC), located at 191 Rosa Parks Street, Cincinnati, Ohio 45202 is the parent company of MM Ascend Life Investor Services, LLC (MMALIS). MMALIC issues annuities, including registered annuity products. MMALIS serves as the distributor for MMALIC's registered annuities. Pete works for MMALIC's Annuity Compliance division. Position: Compliance Director ; full-time occupation. 2.) Devou Properties, INC.; board member of drees pavilion; banquet/reception facility in devou properties board; oversees the operations of the dree's pavilion by approving the budget and major expenditures; meeting monthly with the director, serving as liason with the city, and allocating surplus funds toward improvement projects in the park. 3.) Devou Park Advisory Council; member of a committe that meets monthly with park management and representatives of covington city hall to review usage; maintenance and management of the park and to prioritize the major improvements based on available budgets 4.) Behringer Crawford Museum; member of the board of trustees.
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).
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
Current
June 25, 2001 - Present
MM ASCEND LIFE INVESTOR SERVICES, LLC
Office #1: 191 Rosa Parks, Cincinnati, OH 45202RIA
BD
CRD#: 36451
CINCINNATI, OH
Current
July 7, 1994 - Present
MM ASCEND LIFE INVESTOR SERVICES, LLC
Office #1: 191 Rosa Parks, Cincinnati, OH 45202RIA
BD
CRD#: 36451
CINCINNATI, OH
Past
October 2, 1990 - December 7, 1993
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
June 22, 1989 - September 24, 1990
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/12/1997)
RR
Alaska(11/12/1997)
RR
Arizona(11/12/1997)
RR
Arkansas(11/13/1997)
RR
California(11/12/1997)
RR
Colorado(11/12/1997)
RR
Connecticut(6/26/1996)
RR
Delaware(11/12/1997)
RR
District of Columbia(11/14/1997)
RR
Florida(11/14/1997)
RR
Georgia(11/12/1997)
RR
Hawaii(11/12/1997)
RR
Idaho(11/12/1997)
RR
Illinois(11/12/1997)
RR
Indiana(9/19/1994)
RR
Iowa(11/13/1997)
RR
Kansas(11/12/1997)
RR
Kentucky(9/19/1994)
RR
Louisiana(11/12/1997)
RR
Maine(11/13/1997)
RR
Maryland(11/12/1997)
RR
Massachusetts(11/12/1997)
RR
Michigan(11/13/1997)
RR
Minnesota(11/13/1997)
RR
Mississippi(11/13/1997)
RR
Missouri(3/27/1996)
RR
Montana(11/13/1997)
RR
Nebraska(11/12/1997)
RR
Nevada(11/12/1997)
RR
New Hampshire(11/12/1997)
RR
New Jersey(11/19/1997)
RR
New Mexico(11/12/1997)
RR
New York(11/12/1997)
RR
North Carolina(11/12/1997)
RR
North Dakota(11/13/1997)
RR
Ohio(7/7/1994)
IAR
Ohio(5/26/2011)
RR
Oklahoma(11/13/1997)
RR
Oregon(11/12/1997)
RR
Pennsylvania(11/12/1997)
RR
Puerto Rico(1/29/2025)
RR
Rhode Island(11/13/1997)
RR
South Carolina(11/13/1997)
RR
South Dakota(11/13/1997)
RR
Tennessee(11/14/1997)
RR
Texas(11/12/1997)
RR
Utah(11/12/1997)
RR
Vermont(11/13/1997)
RR
Virginia(8/22/1994)
RR
Washington(11/12/1997)
RR
West Virginia(11/13/1997)
RR
Wisconsin(11/13/1997)
RR
Wyoming(11/14/1997)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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.
Company Information
MM ASCEND LIFE INVESTOR SERVICES, LLC
CRD#: 36451Cincinnati, OH 45202TRUST BUT VERIFY
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Contact information
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