Rebecca W. Gumley

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CRD#: 5604166

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Rebecca Wave Gumley, who also goes by Rebecca Wave Gumley, Rebecca Gumley, was a registered financial professional .

Rebecca is a previously registered financial professional and started their career in finance in 2008. Rebecca had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rebecca Wave Gumley | Rebecca Gumley

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.

Great American Life Insurance Company (GALIC),located at 301 E Fourth Street, Cincinnati, Ohio 45202 is the parent company ofGreat American Advisors LLC (GAA). GALIC issues annuities, including registered annuity products. GAA serves as the distributorfor GALIC's registered annuities. Rebecca works for GALIC's Sales & Marketing division. Position: Hybrid Wholesaler; full-timeoccupation.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 23, 2021 - February 28, 2024

MM ASCEND LIFE INVESTOR SERVICES, LLC

RIA

CRD#: 36451

Tampa, FL

Past

February 17, 2021 - February 28, 2024

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

CINCINNATI, OH

Past

February 20, 2020 - January 8, 2021

LPL FINANCIAL LLC

RIA

CRD#: 6413

TAMPA, FL

Past

February 19, 2020 - January 8, 2021

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

March 20, 2018 - December 4, 2019

OSAIC FA, INC.

RIA

CRD#: 3978

ST. PETERSBURG, FL

Past

March 19, 2018 - December 4, 2019

OSAIC FA, INC.

CRD#: 3978

ST. PETERSBURG, FL

Past

February 11, 2016 - February 20, 2018

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

February 11, 2016 - February 20, 2018

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

February 11, 2016 - February 20, 2018

INVESTMENT CENTERS OF AMERICA, INC.

CRD#: 16443

APPLETON, WI

Past

January 14, 2015 - February 20, 2018

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

TAMPA, FL

Past

January 12, 2015 - February 20, 2018

INVEST FINANCIAL CORPORATION

CRD#: 12984

TAMPA, FL

Past

February 26, 2013 - January 22, 2015

CURIAN CAPITAL, LLC

RIA

CRD#: 120270

DENVER, CO

Past

November 26, 2008 - January 22, 2015

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 3/23/2013

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/25/2013

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/21/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/24/2008

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/7/2013

Investment Company Products/Variable Contracts Principal Examination

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

Rebecca W. Gumley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MM ASCEND LIFE INVESTOR SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OSAIC FA, INC.

OSAIC FA, INC.

SII INVESTMENTS, INC.

NATIONAL PLANNING CORPORATION

INVESTMENT CENTERS OF AMERICA, INC.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

CURIAN CAPITAL, LLC

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/23/2013

Series 65

Date: 2/25/2013

SIE

Date: 10/1/2018

Series 7

Date: 6/21/2016

Series 6

Date: 11/24/2008

Series 26

Date: 10/7/2013

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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