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MC

Michael V. Cortese

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CRD#: 5784126
MC

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.

Michael Vincent Cortese was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2011. Michael had worked at 2 firms and has passed the Series 66, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

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

February 6, 2020 - October 10, 2023

ASCENDANT FINANCIAL PARTNERS, LLC

BD
CRD#: 143326
ROTONDA WEST, FL
Past

July 26, 2012 - June 1, 2016

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Lone Tree, CO
Past

November 3, 2011 - June 1, 2016

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Lone Tree, CO

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
RR
IAR
Series 66
Date: 7/25/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 2/6/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/1/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/2/2011
General Securities Representative Examination

Current Firm

AF
ASCENDANT FINANCIAL PARTNERS, LLC
ASCENDANT FINANCIAL PARTNERS, LLC

CRD#: 143326 / SEC#: , 8-67551

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
317 Australian Drive, Rotonda West, FL 33947
Mailing Address
317 Australian Drive, Rotonda West, FL 33947
Phone number
(303) 882-7311
Established
Colorado since 08/17/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ASCENDANT PARTNERS, INC100% OWNER
WYKA, SUSAN LYNNPRINCIPAL, FINOP, CHIEF COMPLIANCE OFFICER2481441

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.

Company Information

ASCENDANT FINANCIAL PARTNERS, LLC

CRD#: 143326

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