Eric T. Wolford

MM ASCEND LIFE INVESTOR SERVICES

CINCINNATI, OH 45202

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CRD#: 2445778

Professional summary

Eric T Wolford, who also goes by Eric Thomas Wolford, Eric Wolford, is a registered financial professional currently at MM ASCEND LIFE INVESTOR SERVICES, LLC located in Cincinnati, Ohio.

Eric is registered as a RR (Registered Representative) and started their career in finance in 1995. Eric has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Eric Thomas Wolford | Eric Wolford

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 Eric T Wolford's CRS (Customer Relationship Summary).

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

September 29, 2015 - Present

MM ASCEND LIFE INVESTOR SERVICES, LLC

Office #1: 191 Rosa Parks, Cincinnati, OH 45202

RIA

CRD#: 36451

CINCINNATI, OH

Past

September 29, 2015 - February 2, 2016

MM ASCEND LIFE INVESTOR SERVICES, LLC

RIA

CRD#: 36451

CINCINNATI, OH

Past

March 27, 2013 - July 10, 2015

MERCAP SECURITIES, LLC

CRD#: 156607

FORT WAYNE, IN

Past

September 10, 2012 - December 31, 2012

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

FORT WAYNE, IN

Past

March 29, 2010 - September 22, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

THE WOODLANDS, TX

Past

March 1, 2010 - September 22, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

THE WOODLANDS, TX

Past

August 4, 2009 - February 17, 2010

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

HOUSTON, TX

Past

August 13, 2007 - February 27, 2009

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

September 8, 1999 - October 14, 2005

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

November 24, 1997 - June 23, 1998

J.P. MORGAN SECURITIES OF TEXAS, INC.

CRD#: 17116

HOUSTON, TX

Past

February 7, 1996 - November 10, 1997

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

March 17, 1995 - January 24, 1996

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

March 3, 1995 - March 16, 1995

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, 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

Ohio
(9/29/2015)

Texas
(9/29/2015)

Exams

State Security Law Exam

IAR

Series 65

Date: 3/23/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/7/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/7/1995

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/2/1995

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451 / SEC#: 801-68927, 8-47309

RIA

Registered Investment Advisory firm - SEC (3/31/2012 Terminated)

Alabama

Registered Investment Advisory firm - SEC (4/18/2008 Terminated)

Arizona

Registered Investment Advisory firm - SEC (11/27/2023 Terminated)

Arkansas

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

California

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

Colorado

Registered Investment Advisory firm - SEC (4/14/2008 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

Delaware

Registered Investment Advisory firm - SEC (8/29/2018 Terminated)

Georgia

Registered Investment Advisory firm - SEC (11/29/2023 Terminated)

Idaho

Registered Investment Advisory firm - SEC (4/11/2008 Terminated)

Illinois

Registered Investment Advisory firm - SEC (4/1/2008 Terminated)

Indiana

Registered Investment Advisory firm - SEC (4/21/2008 Terminated)

Iowa

Registered Investment Advisory firm - SEC (4/14/2008 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (6/24/2008 Terminated)

Maryland

Registered Investment Advisory firm - SEC (9/14/2018 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (6/17/2008 Terminated)

Michigan

Registered Investment Advisory firm - SEC (12/4/2023 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

Montana

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

Nevada

Registered Investment Advisory firm - SEC (5/14/2008 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (11/30/2023 Terminated)

North Dakota

Registered Investment Advisory firm - SEC (4/14/2008 Terminated)

Ohio

Registered Investment Advisory firm - SEC (7/12/2011 Approved)

Oklahoma

Registered Investment Advisory firm - SEC (4/30/2008 Terminated)

Oregon

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (11/27/2023 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (12/1/2023 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (11/27/2023 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (5/10/2008 Terminated)

Texas

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

Utah

Registered Investment Advisory firm - SEC (11/27/2023 Terminated)

Virginia

Registered Investment Advisory firm - SEC (4/1/2008 Terminated)

Washington

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

West Virginia

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

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

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

191 Rosa Parks 12th Floor, Cincinnati, OH 45202

Mailing Address

191 Rosa Parks 12th Floor, Cincinnati, OH 45202

Phone number

(513) 361-9525

Established

Ohio since 06/24/2021

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
MASSMUTUAL ASCEND LIFE INSURANCE COMPANY	OWNER
HIGGINS, THOMAS PETER	AML OFFICER	2689801
KRAMER, SCOTT ALAN	VP, CO-CCO, AML OFFICER, AND CISO	4941092
NERONE, PETER JAMES	PRESIDENT/CEO/CCO/AML OFFICER/GP/MP/CT	1953641
PURDON, ATHENA MARIE	TREASURER/FIN OP	3262378

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Eric T. Wolford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eric T Wolford's CRS (Customer Relationship Summary).

Certified licenses

Experience

MM ASCEND LIFE INVESTOR SERVICES, LLC

MERCAP SECURITIES, LLC

VOYA FINANCIAL ADVISORS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEXT FINANCIAL GROUP, INC.

CAPITAL BROKERAGE CORPORATION

INVESCO DISTRIBUTORS, INC.

J.P. MORGAN SECURITIES OF TEXAS, INC.

PRUDENTIAL EQUITY GROUP, LLC

MORGAN STANLEY DW INC.

H.J. MEYERS & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/23/2010

Series 63

Date: 4/7/1995

SIE

Date: 10/1/2018

Series 31

Date: 4/7/1995

Series 7

Date: 3/2/1995

FINRA

Current Firm

MM ASCEND LIFE INVESTOR SERVICES, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MM ASCEND LIFE INVESTOR SERVICES, LLC

TRUST BUT VERIFY

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