Kristi L. Pengilly
Professional summary
Kristi Lynn Pengilly, who also goes by Kristi Lynn Brafford, Kristi Pengilly, Kristi Lynn Pengilly, is a registered financial professional currently at ASCENSUS BROKER DEALER SERVICES, LLC located in Dresher, Pennsylvania.
Kristi is registered as a RR (Registered Representative) and started their career in finance in 2006. Kristi has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kristi Lynn Pengilly's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 24, 2023 - Present
ASCENSUS BROKER DEALER SERVICES, LLC
Office #1: 200 Dryden Road, Dresher, PA 19025February 23, 2017 - August 15, 2023
PRINCIPAL SECURITIES, INC.
January 4, 2017 - January 31, 2017
TRANSAMERICA CAPITAL, LLC
March 19, 2015 - January 4, 2017
TRANSAMERICA INVESTORS SECURITIES, LLC
April 25, 2014 - March 18, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 4, 2012 - April 30, 2012
MML INVESTORS SERVICES, LLC
October 10, 2006 - November 3, 2011
OPPENHEIMERFUNDS DISTRIBUTOR, 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
(10/24/2023)
Exams
FINRA
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 | SECRETARY | 1286735 |
| KAPLAN, ROBERT BARRY | CHIEF COMPLIANCE OFFICER | 1286735 |
| SHANNON, MICHAEL DOUGLAS | SENIOR VICE PRESIDENT | 1314743 |
Red Flags
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