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TK

Tamara S. Kraus

ASCENSUS BROKER DEALER SERVICES
Newton, MA 02459
Some features on this profile are disabled
CRD#: 2380766
TK

Professional summary

Tamara Susan Kraus, who also goes by Tammy Kraus, Tamara Susan Wilson, is a registered financial professional currently at ASCENSUS BROKER DEALER SERVICES, LLC located in Newton, Massachusetts.

Tamara is registered as a RR (Registered Representative) and started their career in finance in 1994. Tamara has worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tammy Kraus | Tamara Susan Wilson

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

Click below to view Tamara Susan Kraus'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®
None

Experience

Current

August 31, 2023 - Present

ASCENSUS BROKER DEALER SERVICES, LLC

Office #1: 95 Wells Avenue Suite 160, Newton, MA 02459
BD
CRD#: 36478
Newton, MA
Past

January 10, 2022 - August 31, 2023

NEWPORT GROUP SECURITIES, INC.

BD
CRD#: 29722
LAKE MARY, FL
Past

March 1, 2017 - December 31, 2021

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
BOCA RATON, FL
Past

July 19, 2011 - September 16, 2016

WINDSOR STREET CAPITAL, LP

BD
CRD#: 34171
LONGWOOD, FL
Past

July 21, 2010 - July 5, 2011

ANDERSON & STRUDWICK, INCORPORATED

BD
CRD#: 48
LONGWOOD, FL
Past

November 5, 2007 - July 8, 2010

JESUP & LAMONT SECURITIES CORP

BD
CRD#: 39056
LONGWOOD, FL
Past

July 20, 2001 - March 6, 2009

EMPIRE FINANCIAL GROUP, INC.

BD
CRD#: 28759
LONGWOOD, FL
Past

March 17, 1997 - July 20, 2001

CENTENNIAL CAPITAL MANAGEMENT, INC.

BD
CRD#: 38988
ATLANTA, GA
Past

November 16, 1995 - December 31, 1996

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
WALTHAM, MA
Past

September 6, 1994 - September 15, 1995

BUCKHEAD FINANCIAL CORPORATION

BD
CRD#: 18398

State Registrations and Notice Filings

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

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
Florida
(8/31/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 1/6/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/19/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/5/1994
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AB
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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ASCENSUS, LLC100% STOCKHOLDER OF ASCENSUS BROKER DEALER SERVICES, LLC
DUNN, MICHAEL SEANSENIOR VICE PRESIDENT3045371
FOLMER, MICHAEL ROBERTTREASURER AND VICE PRESIDENT, TAX AND FINANCE5655451
GEARIN, JAMES MPRESIDENT1405150
GINGOLASKI, DENISE MAKSIMOWFINANCIAL AND OPERATIONS PRINCIPAL6218228
GINGOLASKI, DENISE MAKSIMOWPRINCIPAL FINANCIAL OFFICER6218228
GINGOLASKI, DENISE MAKSIMOWPRINCIPAL OPERATIONS OFFICER6218228
KAPLAN, ROBERT BARRYSECRETARY1286735
KAPLAN, ROBERT BARRYCHIEF COMPLIANCE OFFICER1286735
SHANNON, MICHAEL DOUGLASSENIOR VICE PRESIDENT1314743

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

ASCENSUS BROKER DEALER SERVICES, LLC

CRD#: 36478Newton, MA 02459

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