Jason Wroblewski
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.
Jason Wroblewski, who also goes by Jason Paul Wroblewski, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 2004. Jason had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2019 - February 18, 2026
ASCENSUS BROKER DEALER SERVICES, LLC
March 5, 2018 - February 25, 2019
TRANSAMERICA CAPITAL, LLC
April 5, 2013 - January 2, 2018
MML DISTRIBUTORS, LLC
December 21, 2012 - January 23, 2013
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
August 16, 2011 - December 10, 2012
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
August 9, 2011 - January 28, 2013
LPL FINANCIAL LLC
January 5, 2009 - August 5, 2011
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
February 12, 2004 - July 23, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
January 29, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
January 29, 2004 - July 23, 2008
AMERIPRISE FINANCIAL SERVICES, 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
Exams
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
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.
