Regina C. Rowland
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.
Regina Christina Rowland, who also goes by Gina Webb, was a registered financial professional .
Regina is a previously registered financial professional and started their career in finance in 2004. Regina had worked at 5 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2023 - November 5, 2025
ASCENSUS BROKER DEALER SERVICES, LLC
January 4, 2018 - November 5, 2025
NEWPORT GROUP CONSULTING, LLC
September 25, 2015 - December 22, 2017
NEWPORT GROUP SECURITIES, INC.
September 25, 2015 - August 31, 2023
NEWPORT GROUP SECURITIES, INC.
May 15, 2014 - September 4, 2015
NORTHERN LIGHTS DISTRIBUTORS, LLC
April 8, 2014 - September 4, 2015
HORIZON INVESTMENTS LLC
September 27, 2013 - March 12, 2014
NEWPORT GROUP SECURITIES, INC.
May 18, 2004 - March 12, 2014
NEWPORT GROUP SECURITIES, INC.
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.
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