Randy S. Hole
Professional summary
Randy Shawn Hole is a registered financial professional currently at ASCENSUS BROKER DEALER SERVICES, LLC located in Newton, Massachusetts.
Randy is registered as a RR (Registered Representative) and started their career in finance in 1994. Randy has worked at 5 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 6, Series 31, Series 7, Series 26, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Randy Shawn Hole's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 19, 2011 - Present
ASCENSUS BROKER DEALER SERVICES, LLC
Office #1: 95 Wells Avenue Suite 160, Newton, MA 02459July 18, 2007 - April 30, 2008
FARMERS FINANCIAL SOLUTIONS, LLC
November 23, 2005 - April 24, 2007
BANKERS & INVESTORS CO.
June 17, 2003 - October 14, 2005
TD AMERITRADE, INC.
March 13, 1996 - October 14, 2005
TD AMERITRADE, INC.
December 15, 1994 - September 11, 1995
MORGAN STANLEY DW 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
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 4/2/1998
General Securities Sales Supervisor Examination (Options Module & General Module)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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Company Information
ASCENSUS BROKER DEALER SERVICES, LLC
CRD#: 36478Newton, MA 02459TRUST BUT VERIFY
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