Thomas J. Zenoby

ASCENSUS INVESTMENT ADVISORS

PHOENIX, AZ

Some features on this profile are disabled

CRD#: 5241257

Professional summary

Thomas John Zenoby, who also goes by Thomas John Zenoby, Tom Zenoby, is a registered financial advisor currently at ASCENSUS INVESTMENT ADVISORS, LLC located in Phoenix, Arizona and ASCENSUS BROKER DEALER SERVICES, LLC located in Dresher, Pennsylvania.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Thomas has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas John Zenoby | Tom Zenoby

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 employed with the firm's parent company, Ascensus Group, LLC. In addition to his association with the member firm, he is also associated with Beneco Systems, LLC ("Beneco"), an Ascensus affiliate, in the capacity of a Sales Consultant. Applicant's association with Beneco represents the full-time execution of his Ascensus job responsibilities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas John Zenoby'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

November 15, 2023 - Present

ASCENSUS INVESTMENT ADVISORS, LLC

RIA

CRD#: 120632

PHOENIX, AZ

Current

November 3, 2023 - Present

ASCENSUS BROKER DEALER SERVICES, LLC

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

CRD#: 36478

Dresher, PA

Past

May 10, 2023 - June 21, 2023

WORLD INVESTMENT ADVISORS, LLC

RIA

CRD#: 208512

Phoenix, AZ

Past

January 24, 2023 - June 21, 2023

PENSIONMARK SECURITIES, LLC

CRD#: 283952

SANTA BARBARA, CA

Past

July 27, 2022 - January 9, 2023

LPL FINANCIAL LLC

CRD#: 6413

SCOTTSDALE, AZ

Past

November 6, 2017 - January 25, 2021

ADP BROKER-DEALER, INC.

CRD#: 37693

ROSELAND, NJ

Past

June 7, 2017 - October 4, 2017

ADP STRATEGIC PLAN SERVICES, LLC

RIA

CRD#: 286555

Dearborn, MI

Past

March 14, 2016 - October 3, 2017

ADP BROKER-DEALER, INC.

CRD#: 37693

ROSELAND, NJ

Past

February 24, 2015 - March 24, 2016

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

SPRING LAKE, MI

Past

February 20, 2015 - March 24, 2016

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

February 20, 2013 - February 6, 2015

CURIAN CAPITAL, LLC

RIA

CRD#: 120270

DENVER, CO

Past

December 5, 2006 - February 6, 2015

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

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

Arizona
(11/7/2023)

IAR

Massachusetts
(11/15/2023)

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: 5/10/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/4/2007

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: 12/4/2006

Investment Company Products/Variable Contracts 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas J. Zenoby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas John Zenoby's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASCENSUS BROKER DEALER SERVICES, LLC

WORLD INVESTMENT ADVISORS, LLC

PENSIONMARK SECURITIES, LLC

LPL FINANCIAL LLC

ADP BROKER-DEALER, INC.

ADP STRATEGIC PLAN SERVICES, LLC

ADP BROKER-DEALER, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CURIAN CAPITAL, LLC

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

Primary Firm SEC Registration

ASCENSUS INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/10/2023

Series 63

Date: 6/4/2007

SIE

Date: 10/1/2018

Series 6

Date: 12/4/2006

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

Similar Advisors