Scott A. Mcgee
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.
Scott Anthony Mcgee, who also goes by Scott A. Mcgee, Scott Anthony Mcgee, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2004. Scott had worked at 5 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
July 17, 2023 - October 20, 2025
ASCENSUS BROKER DEALER SERVICES, LLC
January 11, 2018 - October 20, 2025
NEWPORT GROUP CONSULTING, LLC
June 25, 2014 - December 22, 2017
NEWPORT GROUP SECURITIES, INC.
June 12, 2014 - September 6, 2023
NEWPORT GROUP SECURITIES, INC.
July 5, 2006 - May 14, 2014
PRINCIPAL SECURITIES, INC.
June 28, 2006 - May 14, 2014
PRINCIPAL SECURITIES, INC.
July 21, 2004 - June 2, 2006
EQUITABLE ADVISORS, LLC
June 2, 2004 - June 2, 2006
EQUITABLE ADVISORS, 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
