Rita Oliveros-soares
Professional summary
Rita Oliveros-soares, who also goes by Rita Oliverossoares, Rita Soares, is a registered financial professional currently at ASCENSUS BROKER DEALER SERVICES, LLC located in Needham, Massachusetts.
Rita is registered as a RR (Registered Representative) and started their career in finance in 1999. Rita has worked at 7 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Rita Oliveros-soares's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 23, 2020 - Present
ASCENSUS BROKER DEALER SERVICES, LLC
Office #1: 140 Kendrick Street Building C Floor 3 Suite C320, Needham, MA 02494June 10, 2019 - October 11, 2019
WOODBURY FINANCIAL SERVICES, INC.
January 16, 2018 - June 11, 2019
SENTRY EQUITY SERVICES, INC.
February 27, 2012 - October 31, 2017
TRANSAMERICA INVESTORS SECURITIES, LLC
January 1, 2009 - October 31, 2011
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
June 6, 2000 - January 1, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
July 20, 1999 - April 18, 2000
JOHN HANCOCK DISTRIBUTORS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/23/2020)
Exams
What does exam status mean?
Series 6
Passed: 7/19/1999
Series 26
Passed: 12/9/2008
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 | PRINCIPAL OPERATIONS OFFICER | 6218228 |
| GINGOLASKI, DENISE MAKSIMOW | FINANCIAL AND OPERATIONS PRINCIPAL | 6218228 |
| GINGOLASKI, DENISE MAKSIMOW | PRINCIPAL FINANCIAL OFFICER | 6218228 |
| MACINNIS, DAVID BRUCE | CHIEF COMPLIANCE OFFICER | 3184368 |
| MACINNIS, DAVID BRUCE | SECRETARY | 3184368 |
| SHANNON, MICHAEL DOUGLAS | SENIOR VICE PRESIDENT | 1314743 |
Red Flags
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