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JE

James N. Eschenheimer

ASCENSUS BROKER DEALER SERVICES
Dresher, PA 19025
Some features on this profile are disabled
CRD#: 2772112
JE

Professional summary

James Nicklaus Eschenheimer, AIF®, who also goes by J. N Eschenheimer, James N Eschenheimer, James Nicklaus Eschenheimer, Nick Eschenheimer, is a registered financial professional currently at ASCENSUS BROKER DEALER SERVICES, LLC located in Dresher, Pennsylvania.

James is registered as a RR (Registered Representative) and started their career in finance in 1996. James has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

J. N Eschenheimer | James N Eschenheimer | James Nicklaus Eschenheimer | Nick Eschenheimer

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 James Nicklaus Eschenheimer'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®
AIF®

Accredited Investment Fiduciary

Experience

Current

July 26, 2022 - Present

ASCENSUS BROKER DEALER SERVICES, LLC

Office #1: 200 Dryden Road, Dresher, PA 19025
BD
CRD#: 36478
Dresher, PA
Past

August 30, 2016 - July 13, 2022

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
ADDISON, TX
Past

August 29, 2016 - July 13, 2022

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
ADDISON, TX
Past

June 9, 2014 - August 25, 2016

BOK FINANCIAL SECURITIES, INC.

RIA
CRD#: 17530
TULSA, OK
Past

June 9, 2014 - December 31, 2015

BOK FINANCIAL SECURITIES, INC.

BD
CRD#: 17530
TULSA, OK
Past

December 14, 2012 - June 10, 2014

B. RILEY WEALTH MANAGEMENT

RIA
CRD#: 2543
TULSA, OK
Past

December 14, 2012 - June 10, 2014

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
TULSA, OK
Past

March 10, 2009 - December 17, 2012

SANDERS MORRIS LLC

RIA
CRD#: 20580
TULSA, OK
Past

March 10, 2009 - December 17, 2012

SANDERS MORRIS LLC

BD
CRD#: 20580
TULSA, OK
Past

February 13, 2001 - March 26, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
TULSA, OK
Past

January 17, 2001 - March 26, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
TULSA, OK
Past

September 5, 1996 - February 8, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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
Oklahoma
(7/26/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/4/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/20/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/26/2004
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 31
Date: 4/14/2003
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/4/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/29/2014
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#: 36478Dresher, PA 19025

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