Timothy W. Stanfield

ASCENSUS BROKER DEALER SERVICES

Dresher, PA 19025

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CRD#: 4166085

Professional summary

Timothy White Stanfield, who also goes by Tim Stanfield, is a registered financial professional currently at ASCENSUS BROKER DEALER SERVICES, LLC located in Dresher, Pennsylvania.

Timothy is registered as a RR (Registered Representative) and started their career in finance in 2002. Timothy has worked at 4 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tim Stanfield

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) - BD

Click below to view Timothy White Stanfield'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®

None

Experience

Current

December 19, 2018 - Present

ASCENSUS BROKER DEALER SERVICES, LLC

Office #1: 200 Dryden Road, Dresher, PA 19025

CRD#: 36478

Dresher, PA

Past

April 8, 2014 - January 2, 2019

ASCENSUS FINANCIAL SERVICES, LLC.

CRD#: 147257

DRESHER, PA

Past

December 14, 2009 - April 7, 2014

P.J. ROBB VARIABLE, LLC

CRD#: 38339

DRESHER, PA

Past

April 1, 2002 - April 11, 2008

LINCOLN INVESTMENT

CRD#: 519

FORT WASHINGTON, PA

State Registrations and Notice Filings

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

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

Pennsylvania
(1/2/2019)

Exams

State Security Law Exam

Series 63

Date: 9/26/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/29/2002

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 4/29/2005

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

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

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)

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

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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Timothy W. Stanfield

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Timothy White Stanfield's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASCENSUS BROKER DEALER SERVICES, LLC

ASCENSUS FINANCIAL SERVICES, LLC.

P.J. ROBB VARIABLE, LLC

LINCOLN INVESTMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 9/26/2014

SIE

Date: 10/1/2018

Series 6

Date: 3/29/2002

Series 26

Date: 4/29/2005

FINRA

Current Firm

ASCENSUS BROKER DEALER SERVICES, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ASCENSUS BROKER DEALER SERVICES, LLC

TRUST BUT VERIFY

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