Roman Ozimek
Professional summary
Roman Ozimek is a registered financial professional currently at ASCENSUS BROKER DEALER SERVICES, LLC located in Lake Mary, Florida.
Roman is registered as a RR (Registered Representative) and started their career in finance in 1998. Roman has worked at 9 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 Roman Ozimek's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 14, 2025 - Present
ASCENSUS BROKER DEALER SERVICES, LLC
Office #1: 300 Primera Blvd. Suite 200, Lake Mary, FL 32746July 31, 2014 - May 6, 2025
M HOLDINGS SECURITIES, INC.
January 17, 2014 - July 1, 2014
NYLIFE SECURITIES LLC
July 19, 2011 - April 11, 2013
NYLIFE SECURITIES LLC
April 20, 2009 - March 14, 2011
FINANCIAL TELESIS INC
June 30, 2008 - April 1, 2009
KESTRA INVESTMENT SERVICES, LLC
November 28, 2001 - June 30, 2008
BRIDGMAN-BOURGER SECURITIES CORP.
November 23, 1999 - September 19, 2001
PINEBRIDGE SECURITIES LLC
April 1, 1999 - July 17, 1999
HIMCO DISTRIBUTION SERVICES COMPANY
July 2, 1998 - April 22, 1999
MARSH & MCLENNAN SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/14/2025)
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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