Nicholas T. Kennedy
Professional summary
Nicholas Tolentino Kennedy, CFP®, who also goes by Nicholas Tolentino Kennedy, Nick Kennedy, is a registered financial professional currently at ASCENSUS BROKER DEALER SERVICES, LLC located in Dresher, Pennsylvania.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 1997. Nicholas has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Tolentino Kennedy's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 16, 2024 - Present
ASCENSUS BROKER DEALER SERVICES, LLC
Office #1: 200 Dryden Road, Dresher, PA 19025September 19, 2016 - September 6, 2023
AMERITAS INVESTMENT COMPANY, LLC
March 31, 2015 - September 2, 2016
PARK AVENUE SECURITIES LLC
November 29, 2007 - March 31, 2015
GUARDIAN INVESTOR SERVICES LLC
January 2, 2001 - October 20, 2005
MUTUAL OF AMERICA SECURITIES LLC
January 2, 2001 - October 20, 2005
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
October 23, 1997 - December 20, 2000
EMPOWER 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
(1/16/2024)
Exams
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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