Jeffrey Byrne
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.
Jeffrey Byrne, who also goes by Jeffrey Dean Byrne, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1991. Jeffrey had worked at 9 firms and has passed the Series 63, Series 66, SIE, Series 6 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 - November 29, 2024
ASCENSUS BROKER DEALER SERVICES, LLC
May 24, 2018 - October 19, 2018
ASCENSUS FINANCIAL SERVICES, LLC.
October 12, 2010 - September 15, 2011
GIRARD INVESTMENT SERVICES, LLC
October 12, 2010 - September 15, 2011
GIRARD INVESTMENT SERVICES, LLC
May 23, 2007 - October 28, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 17, 2007 - October 28, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 12, 2007 - March 12, 2007
STRATEGIC ADVISERS LLC
August 23, 2006 - March 12, 2007
FIDELITY BROKERAGE SERVICES LLC
October 7, 1993 - August 23, 2006
FIDELITY DISTRIBUTORS COMPANY LLC
March 27, 1991 - August 25, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 27, 1991 - August 25, 1993
PRUCO SECURITIES, 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
Exams
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
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.
