Jeffrey Simes
Professional summary
Jeffrey Simes, who also goes by Jeffrey Jon Simes, is a registered financial professional currently at ASCENSUS BROKER DEALER SERVICES, LLC located in Dresher, Pennsylvania.
Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1992. Jeffrey has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Simes's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 19, 2018 - Present
ASCENSUS BROKER DEALER SERVICES, LLC
Office #1: 200 Dryden Road, Dresher, PA 19025June 15, 2018 - October 19, 2018
ASCENSUS FINANCIAL SERVICES, LLC.
November 13, 2013 - June 5, 2018
CUNA BROKERAGE SERVICES, INC.
January 2, 2013 - November 1, 2013
MML DISTRIBUTORS, LLC
February 29, 2008 - January 2, 2013
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
April 25, 2007 - February 29, 2008
MFS FUND DISTRIBUTORS, INC.
December 19, 2006 - April 18, 2007
PRINCIPAL SECURITIES, INC.
August 31, 2004 - April 18, 2007
PRINCIPAL SECURITIES, INC.
January 22, 1996 - August 20, 2004
FIDELITY DISTRIBUTORS COMPANY LLC
January 11, 1994 - January 20, 1996
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
June 26, 1992 - October 2, 1992
H.J. MEYERS & 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
(7/11/2023)
(10/25/2024)
Exams
FINRA
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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