Sugey Horsch
Professional summary
Sugey Horsch, who also goes by Sue Horsch, Sugey E Horsch, Sugey E Vaca, Sugey Elizabeth Vaca, Sugey Vaca, is a registered financial professional currently at ASCENSUS BROKER DEALER SERVICES, LLC located in Dresher, Pennsylvania.
Sugey is registered as a RR (Registered Representative) and started their career in finance in 2008. Sugey has worked at 11 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sugey Horsch's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 27, 2026 - Present
ASCENSUS BROKER DEALER SERVICES, LLC
Office #1: 200 Dryden Road 4th Floor, Dresher, PA 19025October 2, 2023 - October 10, 2025
CETERA WEALTH SERVICES, LLC
June 24, 2020 - November 10, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
June 24, 2020 - May 8, 2023
MUTUAL OF AMERICA SECURITIES LLC
October 24, 2017 - June 19, 2020
CITIGROUP GLOBAL MARKETS INC.
December 6, 2016 - September 29, 2017
SANTANDER SECURITIES LLC
April 22, 2016 - November 17, 2016
RETIREONE INVESTMENT SERVICES, LLC
April 25, 2014 - April 22, 2016
SANDERS MORRIS LLC
October 1, 2012 - October 7, 2013
J.P. MORGAN SECURITIES LLC
June 1, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
February 14, 2008 - June 6, 2011
DAVID LERNER ASSOCIATES, 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
(7/28/2026)
Exams
Series 99TO
Date: 4/18/2023
Operations Professional ExaminationFINRA
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 | CHIEF COMPLIANCE OFFICER | 1286735 |
| KAPLAN, ROBERT BARRY | SECRETARY | 1286735 |
| SHANNON, MICHAEL DOUGLAS | SENIOR VICE PRESIDENT | 1314743 |
Red Flags
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