Mark A. Briedis

MM ASCEND LIFE INVESTOR SERVICES

CINCINNATI, OH 45202

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CRD#: 4915635

Professional summary

Mark A Briedis is a registered financial advisor currently at MM ASCEND LIFE INVESTOR SERVICES, LLC located in Cincinnati, Ohio.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Mark has worked at 3 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 26, Series 10, Series 9, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Mark A Briedis's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Mark A Briedis's CRS (Customer Relationship Summary).

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 19, 2012 - Present

MM ASCEND LIFE INVESTOR SERVICES, LLC

Office #1: 191 Rosa Parks, Cincinnati, OH 45202

RIA

CRD#: 36451

CINCINNATI, OH

Current

October 15, 2008 - Present

MM ASCEND LIFE INVESTOR SERVICES, LLC

Office #1: 191 Rosa Parks, Cincinnati, OH 45202

RIA

CRD#: 36451

CINCINNATI, OH

Past

October 16, 2008 - March 31, 2012

MM ASCEND LIFE INVESTOR SERVICES, LLC

RIA

CRD#: 36451

CINCINNATI, OH

Past

August 9, 2007 - May 29, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

FLORENCE, KY

Past

May 29, 2007 - May 29, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

FLORENCE, KY

Past

July 27, 2005 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

FLORENCE, KY

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
(10/15/2008)

Ohio
(10/21/2008)

IAR

Ohio
(10/19/2012)

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 65

Date: 7/27/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/29/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/25/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 3/20/2009

Investment Company Products/Variable Contracts Principal Examination

Principal/Supervisory Exam

Series 10

Date: 10/24/2007

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/6/2007

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 53

Date: 2/9/2006

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 1/26/2006

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/2/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451 / SEC#: 801-68927, 8-47309

RIA

Registered Investment Advisory firm - SEC (3/31/2012 Terminated)

Alabama

Registered Investment Advisory firm - SEC (4/18/2008 Terminated)

Arizona

Registered Investment Advisory firm - SEC (11/27/2023 Terminated)

Arkansas

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

California

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

Colorado

Registered Investment Advisory firm - SEC (4/14/2008 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

Delaware

Registered Investment Advisory firm - SEC (8/29/2018 Terminated)

Georgia

Registered Investment Advisory firm - SEC (11/29/2023 Terminated)

Idaho

Registered Investment Advisory firm - SEC (4/11/2008 Terminated)

Illinois

Registered Investment Advisory firm - SEC (4/1/2008 Terminated)

Indiana

Registered Investment Advisory firm - SEC (4/21/2008 Terminated)

Iowa

Registered Investment Advisory firm - SEC (4/14/2008 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (6/24/2008 Terminated)

Maryland

Registered Investment Advisory firm - SEC (9/14/2018 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (6/17/2008 Terminated)

Michigan

Registered Investment Advisory firm - SEC (12/4/2023 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

Montana

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

Nevada

Registered Investment Advisory firm - SEC (5/14/2008 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (11/30/2023 Terminated)

North Dakota

Registered Investment Advisory firm - SEC (4/14/2008 Terminated)

Ohio

Registered Investment Advisory firm - SEC (7/12/2011 Approved)

Oklahoma

Registered Investment Advisory firm - SEC (4/30/2008 Terminated)

Oregon

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (11/27/2023 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (12/1/2023 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (11/27/2023 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (5/10/2008 Terminated)

Texas

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

Utah

Registered Investment Advisory firm - SEC (11/27/2023 Terminated)

Virginia

Registered Investment Advisory firm - SEC (4/1/2008 Terminated)

Washington

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

West Virginia

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (4/10/2008 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

191 Rosa Parks 12th Floor, Cincinnati, OH 45202

Mailing Address

191 Rosa Parks 12th Floor, Cincinnati, OH 45202

Phone number

(513) 361-9525

Established

Ohio since 06/24/2021

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
MASSMUTUAL ASCEND LIFE INSURANCE COMPANY	OWNER
HIGGINS, THOMAS PETER	AML OFFICER	2689801
KRAMER, SCOTT ALAN	VP, CO-CCO, AML OFFICER, AND CISO	4941092
NERONE, PETER JAMES	PRESIDENT/CEO/CCO/AML OFFICER/GP/MP/CT	1953641
PURDON, ATHENA MARIE	TREASURER/FIN OP	3262378

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Mark A. Briedis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark A Briedis's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Mark A Briedis's CRS (Customer Relationship Summary).

Certified licenses

Experience

MM ASCEND LIFE INVESTOR SERVICES, LLC

MM ASCEND LIFE INVESTOR SERVICES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

State Registrations and Notice Filings

Exams

Series 65

Date: 7/27/2007

Series 63

Date: 6/29/2005

Series 52TO

Date: 9/25/2025

SIE

Date: 10/1/2018

Series 7

Date: 6/25/2005

Series 26

Date: 3/20/2009

Series 10

Date: 10/24/2007

Series 9

Date: 9/6/2007

Series 53

Date: 2/9/2006

Series 4

Date: 1/26/2006

Series 24

Date: 11/2/2005

FINRA

Current Firm

MM ASCEND LIFE INVESTOR SERVICES, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MM ASCEND LIFE INVESTOR SERVICES, LLC

TRUST BUT VERIFY

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