Joseph D. Wilcox

ASCENSUS INVESTMENT ADVISORS

LEXINGTON, KY

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CRD#: 4794110

Professional summary

Joseph David Wilcox, who also goes by Joseph D Wilcox, Joseph Wilcox, is a registered financial advisor currently at ASCENSUS INVESTMENT ADVISORS, LLC located in Lexington, Kentucky and ASCENSUS BROKER DEALER SERVICES, LLC located in Newton, Massachusetts.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Joseph has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph D Wilcox | Joseph Wilcox

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Applicant is engaged in an outside non-investment business activity as a published author for Rowman & Littlefield Publishing located at 4501 Forbes Blvd, Ste 200, Lanham, MD 20706. No hours are currently being dedicated to this activity, however there is the expectation of continued royalty payments.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph David Wilcox's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 30, 2019 - Present

ASCENSUS INVESTMENT ADVISORS, LLC

RIA

CRD#: 120632

LEXINGTON, KY

Current

May 3, 2019 - Present

ASCENSUS BROKER DEALER SERVICES, LLC

Office #1: 95 Wells Avenue Suite 160, Newton, MA 02459

CRD#: 36478

Newton, MA

Past

November 17, 2017 - April 16, 2019

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

LEXINGTON, KY

Past

November 15, 2017 - April 16, 2019

J.P. MORGAN SECURITIES LLC

CRD#: 79

LEXINGTON, KY

Past

May 23, 2016 - March 27, 2017

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

BETHEL PARK, PA

Past

May 23, 2016 - March 27, 2017

CITIZENS SECURITIES, INC.

CRD#: 39550

BETHEL PARK, PA

Past

January 6, 2006 - May 19, 2016

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

PITTSBURGH, PA

Past

January 6, 2006 - May 19, 2016

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

PITTSBURGH, PA

Past

August 18, 2004 - November 8, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CANNONSBURG, PA

Past

August 4, 2004 - November 8, 2005

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 4, 2004 - November 8, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ASCENSUS INVESTMENT ADVISORS, LLC

ASCENSUS INVESTMENT ADVISORS, LLC | UPROMISE INVESTMENT ADVISORS, LLC

CRD#: 120632 / SEC#: 801-61492

RIA

Registered Investment Advisory firm - (9/27/2002 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Kentucky
(5/3/2019)

IAR

Massachusetts
(10/30/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/17/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/3/2004

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ASCENSUS INVESTMENT ADVISORS, LLC

ASCENSUS INVESTMENT ADVISORS, LLC | UPROMISE INVESTMENT ADVISORS, LLC

CRD#: 120632 / SEC#: 801-61492

RIA

Registered Investment Advisory firm - (9/27/2002 Approved)

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Contact information

Main Address

95 Wells Avenue Suite 160, Newton, MA 02459

Mailing Address

Phone number

(617) 454-6400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (48 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (10/20/2025)

Regulatory assets under management

Total Number of Accounts	43
AUM (Assets Under Management)	$ 11,649,896,048

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/29/2024	Cover Page	Report
01/30/2024	Cover Page	Report
01/26/2023	Cover Page	Report

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.

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Firm Stability Insights

Joseph D. Wilcox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph David Wilcox's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASCENSUS BROKER DEALER SERVICES, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

ASCENSUS INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/17/2004

SIE

Date: 10/1/2018

Series 7

Date: 8/3/2004

FINRA

Current Firm

ASCENSUS INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ASCENSUS INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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