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Thomas Lowe

ASCENSUS INVESTMENT ADVISORS
NEEDHAM, MA
·CRD# 3089857·28 years experience

Professional Summary

Thomas Lowe, who also goes by Thomas W Lowe, is a registered financial advisor currently at ASCENSUS INVESTMENT ADVISORS, LLC located in Needham, Massachusetts and ASCENSUS BROKER DEALER SERVICES, LLC located in Needham, Massachusetts. Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Thomas has worked at 3 firms and has passed the Series 66, Series 63, Series 50, SIE, Series 7, Series...

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Thomas W Lowe

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

28 years in the financial services industry

Current & Past Employments

ASCENSUS INVESTMENT ADVISORS, LLC·CRD# 120632
RIA
140 Kendrick Street Building C Floor 3 Suite C320, Needham, MA 02494
November 17, 2020 - Present
ASCENSUS BROKER DEALER SERVICES, LLC·CRD# 36478
BD
140 Kendrick Street Building C Floor 3 Suite C320, Needham, MA 02494
September 11, 2018 - Present
FIDELITY DISTRIBUTORS COMPANY LLC·CRD# 17507
BD
Smithfield, RI
June 8, 1999 - January 16, 2018

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Current Firm

AI
ASCENSUS INVESTMENT ADVISORS, LLC

ASCENSUS INVESTMENT ADVISORS, LLC | UPROMISE INVESTMENT ADVISORS, LLC

CRD#: 120632 / SEC#: 801-61492
RIA
Registered Investment Advisory firm - SEC (9/27/2002 Approved)

Contact Information

Main Address

140 Kendrick Street Building C Floor 3 Suite C320, Needham, MA 02494

Phone Number

(617) 454-6400

# of Employees

48

SEC notice filing (10 States and Territories)

Registered to provide investment advisory services in 10 US states and territories.

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (8/17/2026)

Regulatory Assets Under Management

Total Number of Accounts

10

AUM (Assets Under Management)

$12,973,029,698

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
01/21/2026Cover PageReport
07/29/2024Cover PageReport
01/30/2024Cover PageReport

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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.

1. applicant receives rental income from (i) real estate located in Boston, MA; (ii) parking spots located in Boston, MA; and (iii) real estate located in Newport, RI.� Applicant has been engaged in rent collection and administrative paperwork since June 2000 for the Boston property, November 2020 for the parking spots, and August 2000 for the Newport property.� Approximately 4 hours per month is dedicated to the rent collection activity which is not performed during Ascensus working hours. 2. Applicant serves as Trustee for two family trusts. In this position, applicant manages investments in the trusts and oversees the usage of the trust funds. Applicant devotes approximately 4 hours a month in this position. The hours associated with this activity do not conflict with Ascensus business hours. 3. Applicant is employed by the firm's parent, Ascensus, LLC.� In addition to his association with the member firm, he also serves as an officer of the firm's affiliate, Ascensus Investment Advisors, LLC.� This association is part of the applicant's full-time execution of his Ascensus job responsibilities.

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Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AI
ASCENSUS INVESTMENT ADVISORS, LLC

ASCENSUS INVESTMENT ADVISORS, LLC | UPROMISE INVESTMENT ADVISORS, LLC

CRD#: 120632 / SEC#: 801-61492
RIA
Registered Investment Advisory firm - SEC (9/27/2002 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Massachusetts
(9/11/2018)
IAR
Massachusetts
(11/17/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Oct 2020About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1998About the Series 63 exam

Series 50 — Municipal Advisor Representative Qualification Exam

Passed Jun 2019About the Series 50 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jul 1998About the Series 7 exam

Series 54 — Municipal Advisor Principal Qualification Examination

Passed Feb 2021About the Series 54 exam

Series 24 — General Securities Principal Examination

Passed Feb 2006About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Thomas Lowe's CRS (Customer Relationship Summary).

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