James P. Dalton

ASCENSUS BROKER DEALER SERVICES

Newton, MA 02459

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CRD#: 2367205

Professional summary

James Patrick Dalton, who also goes by Jim Dalton, is a registered financial professional currently at ASCENSUS BROKER DEALER SERVICES, LLC located in Newton, Massachusetts.

James is registered as a RR (Registered Representative) and started their career in finance in 1994. James has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.

Question & Answer

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Aliases

Jim Dalton

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

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Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 24, 2008 - Present

ASCENSUS BROKER DEALER SERVICES, LLC

Office #1: 95 Wells Avenue Suite 160, Newton, MA 02459

CRD#: 36478

Newton, MA

Past

September 29, 2006 - April 28, 2008

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

NEW YORK, NY

Past

May 23, 1994 - September 29, 2006

FAM DISTRIBUTORS, INC.

CRD#: 4100

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Massachusetts
(11/24/2008)

Exams

State Security Law Exam

Series 63

Date: 3/24/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/28/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/20/1994

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ASCENSUS BROKER DEALER SERVICES, LLC

ASCENSUS BROKER DEALER SERVICES, INC. | UPROMISE INVESTMENTS, INC. | PREMIER MUTUAL FUND SERVICES, INC. | PREMIER DISTRIBUTOR, INC. | ASCENSUS BROKER DEALER SERVICES, LLC

CRD#: 36478 / SEC#: , 8-47312

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

95 Wells Avenue Suite 160, Newton, MA 02459

Mailing Address

95 Wells Avenue Suite 160, Newton, MA 02459

Phone number

(215) 648-1272

Established

Delaware since 01/01/2018

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

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.

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James P. Dalton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Patrick Dalton's CRS (Customer Relationship Summary).

Certified licenses

Experience

BLACKROCK INVESTMENTS, LLC

FAM DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/24/1994

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/28/1997

Series 6

Date: 5/20/1994

FINRA

Current Firm

ASCENSUS BROKER DEALER SERVICES, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ASCENSUS BROKER DEALER SERVICES, LLC

TRUST BUT VERIFY

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