Stephen R. Gegg

ASCENSUS INVESTMENT ADVISORS

LITITZ, PA

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CRD#: 5894471

Professional summary

Stephen Robert Gegg, AIF®, who also goes by Steve Gegg, is a registered financial advisor currently at ASCENSUS INVESTMENT ADVISORS, LLC located in Lititz, Pennsylvania.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Stephen has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Gegg

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) - RIA

Click below to view Stephen Robert Gegg'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

June 8, 2021 - Present

ASCENSUS INVESTMENT ADVISORS, LLC

RIA

CRD#: 120632

LITITZ, PA

Past

July 12, 2016 - December 31, 2020

BB&T INSTITUTIONAL INVESTMENT ADVISERS, INC.

RIA

CRD#: 106156

Lancaster, PA

Past

July 13, 2012 - March 11, 2016

VALLEY FORGE ASSET MANAGEMENT, LLC

RIA

CRD#: 7438

BLUE BALL, PA

Past

August 18, 2011 - March 11, 2016

VALLEY FORGE ASSET MANAGEMENT, LLC

CRD#: 7438

BLUE BALL, PA

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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(6/8/2021)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/12/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/11/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/17/2011

General Securities Representative Examination

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)

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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.

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Firm Stability Insights

Stephen R. Gegg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Robert Gegg's CRS (Customer Relationship Summary).

Certified licenses

Experience

BB&T INSTITUTIONAL INVESTMENT ADVISERS, INC.

VALLEY FORGE ASSET MANAGEMENT, LLC

VALLEY FORGE ASSET MANAGEMENT, LLC

Primary Firm SEC Registration

ASCENSUS INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/12/2012

SIE

Date: 3/11/2016

Series 7

Date: 8/17/2011

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

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