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ES

Earl C. Schwabe

ASCENSUS BROKER DEALER SERVICES
Lake Mary, FL 32746
Some features on this profile are disabled
CRD#: 2722383
ES

Professional summary

Earl Charles Schwabe, who also goes by Earl C Schwabe, Earl Charles Schwabe, is a registered financial professional currently at ASCENSUS BROKER DEALER SERVICES, LLC located in Lake Mary, Florida.

Earl is registered as a RR (Registered Representative) and started their career in finance in 1997. Earl has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Earl C Schwabe | Earl Charles Schwabe

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 Earl Charles Schwabe'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

May 23, 2024 - Present

ASCENSUS BROKER DEALER SERVICES, LLC

Office #1: 300 Primera Blvd. Suite 200, Lake Mary, FL 32746
BD
CRD#: 36478
Lake Mary, FL
Past

January 4, 2023 - May 9, 2024

CAPACUITY SECURITIES, INC.

BD
CRD#: 15384
LAKE MARY, FL
Past

July 8, 2019 - November 1, 2022

NEWPORT GROUP SECURITIES, INC.

BD
CRD#: 29722
LAKE MARY, FL
Past

October 4, 2011 - April 21, 2016

LPL FINANCIAL LLC

BD
CRD#: 6413
CLAREDON HILLS, IL
Past

October 24, 1997 - September 5, 2001

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
BOSTON, MA

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
Delaware
(8/20/2025)
RR
Florida
(5/24/2024)
RR
Illinois
(6/3/2024)
RR
Minnesota
(5/6/2025)
RR
Nevada
(3/27/2025)
RR
North Carolina
(10/17/2024)
RR
Ohio
(5/6/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 7/29/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/21/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/3/2011
Investment Company Products/Variable Contracts Representative 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#: 36478Lake Mary, FL 32746

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