Howard A. Hockman
Professional summary
Howard Andrew Hockman, who also goes by Andy Hockman, is a registered financial professional currently at ASCENSUS BROKER DEALER SERVICES, LLC located in Dresher, Pennsylvania.
Howard is registered as a RR (Registered Representative) and started their career in finance in 2003. Howard has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Howard Andrew Hockman's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 19, 2018 - Present
ASCENSUS BROKER DEALER SERVICES, LLC
Office #1: 200 Dryden Road, Dresher, PA 19025January 4, 2017 - October 19, 2018
ASCENSUS FINANCIAL SERVICES, LLC.
December 15, 2014 - January 3, 2017
CUNA BROKERAGE SERVICES, INC.
April 10, 2012 - January 4, 2013
THE HUNTINGTON INVESTMENT COMPANY
January 27, 2010 - February 17, 2012
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
December 9, 2009 - January 4, 2010
PNC WEALTH MANAGEMENT LLC
April 2, 2009 - November 23, 2009
NYLIFE DISTRIBUTORS LLC
April 24, 2007 - January 20, 2009
EVERLAKE DISTRIBUTORS, LLC
February 20, 2007 - May 2, 2007
NATIONWIDE INVESTMENT ADVISORS, LLC
February 10, 2003 - April 23, 2007
NATIONWIDE INVESTMENT SERVICES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/6/2023)
Exams
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 | FINANCIAL AND OPERATIONS PRINCIPAL | 6218228 |
| GINGOLASKI, DENISE MAKSIMOW | PRINCIPAL FINANCIAL OFFICER | 6218228 |
| GINGOLASKI, DENISE MAKSIMOW | PRINCIPAL OPERATIONS OFFICER | 6218228 |
| KAPLAN, ROBERT BARRY | CHIEF COMPLIANCE OFFICER | 1286735 |
| KAPLAN, ROBERT BARRY | SECRETARY | 1286735 |
| SHANNON, MICHAEL DOUGLAS | SENIOR VICE PRESIDENT | 1314743 |
Red Flags
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