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ML

Melinda D. Lemoine

ASCENSUS BROKER DEALER SERVICES
Lake Mary, FL 32746
Some features on this profile are disabled
CRD#: 4910549
ML

Professional summary

Melinda Denell Lemoine, who also goes by Melinda Denell Lemoine, Mindy D Lemoine, Mindy Denell Lemoine, is a registered financial professional currently at ASCENSUS BROKER DEALER SERVICES, LLC located in Lake Mary, Florida.

Melinda is registered as a RR (Registered Representative) and started their career in finance in 2005. Melinda has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Melinda Denell Lemoine | Mindy D Lemoine | Mindy Denell Lemoine

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Melinda Denell Lemoine'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

August 31, 2023 - Present

ASCENSUS BROKER DEALER SERVICES, LLC

Office #1: 300 Primera Blvd. Suite 200, Lake Mary, FL 32746
BD
CRD#: 36478
Lake Mary, FL
Past

August 30, 2019 - August 31, 2023

NEWPORT GROUP SECURITIES, INC.

BD
CRD#: 29722
Dallas, TX
Past

December 10, 2018 - May 20, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
HURST, TX
Past

December 10, 2018 - May 20, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
HURST, TX
Past

September 4, 2014 - November 22, 2017

1ST GLOBAL ADVISORS INC

RIA
CRD#: 111133
DALLAS, TX
Past

September 4, 2014 - November 22, 2017

1ST GLOBAL CAPITAL CORP.

BD
CRD#: 30349
DALLAS, TX
Past

October 15, 2013 - April 1, 2014

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
HOUSTON, TX
Past

October 4, 2013 - April 1, 2014

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
HOUSTON, TX
Past

March 24, 2010 - January 10, 2012

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
HOUSTON, TX
Past

January 8, 2010 - January 10, 2012

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
HOUSTON, TX
Past

October 9, 2006 - October 8, 2009

TD AMERITRADE, INC.

BD
CRD#: 7870
FORT WORTH, TX
Past

March 25, 2005 - May 10, 2006

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI

State Registrations and Notice Filings

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

RR
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

RR
Massachusetts
(10/22/2025)
RR
Texas
(8/31/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/22/2010
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/14/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/22/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/6/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/24/2005
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AB
ASCENSUS BROKER DEALER SERVICES, LLC
ASCENSUS BROKER DEALER SERVICES, INC. | UPROMISE INVESTMENTS, INC. | PREMIER MUTUAL FUND SERVICES, INC. | PREMIER DISTRIBUTOR, INC. | ASCENSUS BROKER DEALER SERVICES, LLC

CRD#: 36478 / SEC#: , 8-47312

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
95 Wells Avenue Suite 160, Newton, MA 02459
Mailing Address
95 Wells Avenue Suite 160, Newton, MA 02459
Phone number
(215) 648-1272
Established
Delaware since 01/01/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ASCENSUS, LLC100% STOCKHOLDER OF ASCENSUS BROKER DEALER SERVICES, LLC
DUNN, MICHAEL SEANSENIOR VICE PRESIDENT3045371
FOLMER, MICHAEL ROBERTTREASURER AND VICE PRESIDENT, TAX AND FINANCE5655451
GEARIN, JAMES MPRESIDENT1405150
GINGOLASKI, DENISE MAKSIMOWFINANCIAL AND OPERATIONS PRINCIPAL6218228
GINGOLASKI, DENISE MAKSIMOWPRINCIPAL FINANCIAL OFFICER6218228
GINGOLASKI, DENISE MAKSIMOWPRINCIPAL OPERATIONS OFFICER6218228
KAPLAN, ROBERT BARRYSECRETARY1286735
KAPLAN, ROBERT BARRYCHIEF COMPLIANCE OFFICER1286735
SHANNON, MICHAEL DOUGLASSENIOR VICE PRESIDENT1314743

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.

Company Information

ASCENSUS BROKER DEALER SERVICES, LLC

CRD#: 36478Lake Mary, FL 32746

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