Ari D. Forman

ASCENSUS BROKER DEALER SERVICES

Dresher, PA 19025

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CRD#: 4985935

Professional summary

Ari Dov Forman, who also goes by Ari Forman, is a registered financial professional currently at ASCENSUS BROKER DEALER SERVICES, LLC located in Dresher, Pennsylvania.

Ari is registered as a RR (Registered Representative) and started their career in finance in 2005. Ari has worked at 5 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ari Forman

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 Ari Dov Forman'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 19, 2018 - Present

ASCENSUS BROKER DEALER SERVICES, LLC

Office #1: 200 Dryden Road, Dresher, PA 19025

CRD#: 36478

Dresher, PA

Past

November 21, 2017 - October 19, 2018

ASCENSUS FINANCIAL SERVICES, LLC.

CRD#: 147257

DRESHER, PA

Past

September 28, 2011 - January 4, 2017

OSAIC FA, INC.

CRD#: 3978

RADNOR, PA

Past

February 12, 2010 - September 13, 2011

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

June 11, 2009 - December 31, 2012

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

September 27, 2006 - May 11, 2009

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

September 5, 2005 - January 11, 2006

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

State Registrations and Notice Filings

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

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

Pennsylvania
(10/19/2018)

Exams

State Security Law Exam

Series 63

Date: 10/12/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/2/2005

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/11/2018

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

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

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)

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

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

Ari D. Forman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ari Dov Forman's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASCENSUS FINANCIAL SERVICES, LLC.

OSAIC FA, INC.

OSAIC FA, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

WELLS FARGO CLEARING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/12/2006

SIE

Date: 10/1/2018

Series 6

Date: 9/2/2005

Series 26

Date: 12/11/2018

FINRA

Current Firm

ASCENSUS BROKER DEALER SERVICES, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ASCENSUS BROKER DEALER SERVICES, LLC

TRUST BUT VERIFY

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