Adam B. Ashcroft
Professional summary
Adam Baird Ashcroft is a registered financial professional currently at DELAWARE DISTRIBUTORS, L.P. located in Philadelphia, Pennsylvania.
Adam is registered as a RR (Registered Representative) and started their career in finance in 1997. Adam has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Adam Baird Ashcroft's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 14, 2013 - Present
DELAWARE DISTRIBUTORS, L.P.
Office #1: 610 Market St 100 Independence, Philadelphia, PA 19106July 20, 2009 - January 29, 2013
GUARDIAN INVESTOR SERVICES LLC
August 1, 2007 - September 22, 2008
RIVERSOURCE DISTRIBUTORS, INC.
May 8, 2000 - July 25, 2007
SII INVESTMENTS, INC.
March 12, 1997 - May 10, 2000
METROPOLITAN LIFE INSURANCE COMPANY
March 12, 1997 - May 10, 2000
MSI FINANCIAL SERVICES, 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
(2/14/2013)
(2/14/2013)
(2/14/2013)
(2/14/2013)
(2/14/2013)
(3/6/2013)
(2/14/2013)
Exams
FINRA
Current Firm
DELAWARE DISTRIBUTORS, L.P.
CRD#: 14232 / SEC#: , 8-29755
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELAWARE INVESTMENTS DISTRIBUTION PARTNERS, INC. ("DIDP") | LIMITED PARTNER OF APPLICANT | |
| IVY DISTRIBUTORS, INC. | LIMITED PARTNER OF APPLICANT | |
| CONNOR, DAVID FORRESTER | DIRECTOR | 4243088 |
| DELAWARE CAPITAL MANAGEMENT, A SERIES OF MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST,("DCM") | LIMITED PARTNER OF APPLICANT | |
| DELAWARE DISTRIBUTORS, INC. ("DDI") | GENERAL PARTNER OF APPLICANT | |
| GARVEY, THOMAS F | CHIEF COMPLIANCE OFFICER | 2845051 |
| HOBAN, STEPHEN (NO MIDDLE NAME) | FINOP | 5089370 |
| HOBAN, STEPHEN (NO MIDDLE NAME) | VP/CHIEF FINANCIAL OFFICER | 5089370 |
| HUTCHINSON, MILISSA ANN | PRESIDENT | 5727922 |
| LYTLE, SHAWN KEITH | DIRECTOR | 5816747 |
| SALUS, RICHARD (NO MIDDLE NAME) | DIRECTOR | 2850592 |
Disclosures
| Regulatory Event | 3 |
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