James D. Racine
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James David Racine was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1996. James had worked at 7 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2018 - April 17, 2025
ASCENSUS BROKER DEALER SERVICES, LLC
August 2, 2013 - October 19, 2018
ASCENSUS FINANCIAL SERVICES, LLC.
May 1, 2007 - December 5, 2011
LINCOLN FINANCIAL DISTRIBUTORS, INC.
September 9, 2005 - May 1, 2007
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 9, 2005 - May 21, 2007
OSAIC FA, INC.
March 24, 2000 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
March 24, 2000 - November 29, 2005
VALIC FINANCIAL ADVISORS, INC.
October 31, 1996 - December 14, 1999
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 31, 1996 - December 14, 1999
OSAIC FA, 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
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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