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Richard G. Ehr

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CRD#: 3193168
RE

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Richard George Ehr was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1999. Richard had worked at 4 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 12, 2007 - February 11, 2013

ASCENSUS BROKER DEALER SERVICES, LLC

BD
CRD#: 36478
NEWTON, MA
Past

May 31, 2006 - February 6, 2007

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
CEDAR RAPIDS, IA
Past

October 25, 2000 - February 6, 2007

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
CEDAR RAPIDS, IA
Past

October 14, 1999 - October 26, 2000

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
WAVERLY, IA
Past

March 26, 1999 - October 1, 1999

CETERA ADVISORS LLC

BD
CRD#: 10299
GREENWOOD VILLAGE, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/22/2006
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/17/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/16/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/25/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/5/2002
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/22/2000
General Securities Principal Examination

Current Firm

AB
ASCENSUS BROKER DEALER SERVICES, LLC
ASCENSUS BROKER DEALER SERVICES, INC. | UPROMISE INVESTMENTS, INC. | PREMIER MUTUAL FUND SERVICES, INC. | PREMIER DISTRIBUTOR, INC. | ASCENSUS BROKER DEALER SERVICES, LLC

CRD#: 36478 / SEC#: , 8-47312

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
95 Wells Avenue Suite 160, Newton, MA 02459
Mailing Address
95 Wells Avenue Suite 160, Newton, MA 02459
Phone number
(215) 648-1272
Established
Delaware since 01/01/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ASCENSUS, LLC100% STOCKHOLDER OF ASCENSUS BROKER DEALER SERVICES, LLC
DUNN, MICHAEL SEANSENIOR VICE PRESIDENT3045371
FOLMER, MICHAEL ROBERTTREASURER AND VICE PRESIDENT, TAX AND FINANCE5655451
GEARIN, JAMES MPRESIDENT1405150
GINGOLASKI, DENISE MAKSIMOWFINANCIAL AND OPERATIONS PRINCIPAL6218228
GINGOLASKI, DENISE MAKSIMOWPRINCIPAL FINANCIAL OFFICER6218228
GINGOLASKI, DENISE MAKSIMOWPRINCIPAL OPERATIONS OFFICER6218228
KAPLAN, ROBERT BARRYSECRETARY1286735
KAPLAN, ROBERT BARRYCHIEF COMPLIANCE OFFICER1286735
SHANNON, MICHAEL DOUGLASSENIOR VICE PRESIDENT1314743

Red Flags

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.

Company Information

ASCENSUS BROKER DEALER SERVICES, LLC

CRD#: 36478

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