Steven J. Schweitzer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Steven John Schweitzer, CFP®, who also goes by Steve Schweitzer, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1991. Steven had worked at 9 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2018 - February 16, 2021
ASCENSUS BROKER DEALER SERVICES, LLC
August 28, 2013 - October 19, 2018
ASCENSUS FINANCIAL SERVICES, LLC.
August 28, 2007 - August 1, 2013
P.J. ROBB VARIABLE, LLC
May 11, 2005 - July 31, 2007
FORESIDE DISTRIBUTION SERVICES, L.P.
April 19, 2004 - April 1, 2005
DIRECTED SERVICES LLC
August 25, 2000 - March 29, 2004
DELAWARE DISTRIBUTORS, L.P.
May 3, 1995 - August 7, 2000
1717 CAPITAL MANAGEMENT COMPANY
April 8, 1992 - March 3, 1995
VANGUARD MARKETING CORPORATION
February 21, 1991 - July 19, 1991
HIBBARD BROWN & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 2/28/2024
General Securities Representative ExaminationCurrent 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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