TL
Thomas Lowe
ASCENSUS INVESTMENT ADVISORS
Newton, MA 02459
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CRD#: 3089857
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Professional summary
Thomas Lowe, who also goes by Thomas W Lowe, is a registered financial advisor currently at ASCENSUS INVESTMENT ADVISORS, LLC located in Newton, Massachusetts and ASCENSUS BROKER DEALER SERVICES, LLC located in Newton, 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 54 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas W Lowe
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 Group, 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.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Lowe's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 17, 2020 - Present
ASCENSUS INVESTMENT ADVISORS, LLC
Office #1: 95 Wells Avenue Suite 160, Newton, MA 02459RIA
CRD#: 120632
Newton, MA
Current
September 11, 2018 - Present
ASCENSUS BROKER DEALER SERVICES, LLC
Office #1: 95 Wells Avenue Suite 160, Newton, MA 02459BD
CRD#: 36478
Newton, MA
Past
June 8, 1999 - January 16, 2018
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
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 - (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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Massachusetts(9/11/2018)
IAR
Massachusetts(11/17/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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 - (9/27/2002 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
95 Wells Avenue Suite 160, Newton, MA 02459
Mailing Address
Phone number
(617) 454-6400
Established
Firm type
Fiscal year end
# of Employees
47
SEC notice filing (48 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 43 |
| AUM (Assets Under Management) | $ 11,649,896,048 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/29/2024 | ||
| 01/30/2024 | ||
| 01/26/2023 |
Red Flags
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Company Information
ASCENSUS INVESTMENT ADVISORS, LLC
CRD#: 120632Newton, MA 02459TRUST BUT VERIFY
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