Todd Engman
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.
Todd Engman, who also goes by Todd Edward Engman, was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 2004. Todd had worked at 7 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
October 19, 2018 - July 11, 2019
ASCENSUS BROKER DEALER SERVICES, LLC
September 14, 2018 - October 19, 2018
ASCENSUS FINANCIAL SERVICES, LLC.
November 19, 2013 - September 12, 2018
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 5, 2011 - November 19, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
December 5, 2011 - November 19, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
October 12, 2007 - November 18, 2011
BAKER TILLY INVESTMENT ADVISORS
January 6, 2005 - November 18, 2011
BAKER TILLY CAPITAL, LLC
April 2, 2004 - October 4, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
March 17, 2004 - October 4, 2004
IDS LIFE INSURANCE COMPANY
March 17, 2004 - October 4, 2004
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 | 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.
