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DK

Daniel R. Kozlowski

MM ASCEND LIFE INVESTOR SERVICES
CINCINNATI, OH 45202
Some features on this profile are disabled
CRD#: 6143006
DK

Professional summary

Daniel Robert Kozlowski, who also goes by Daniel Kozlowski, is a registered financial professional currently at MM ASCEND LIFE INVESTOR SERVICES, LLC located in Cincinnati, Ohio.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2013. Daniel has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel Kozlowski

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) - BD

Click below to view Daniel Robert Kozlowski's CRS (Customer Relationship Summary).
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 17, 2020 - Present

MM ASCEND LIFE INVESTOR SERVICES, LLC

Office #1: 191 Rosa Parks, Cincinnati, OH 45202
RIA
BD
CRD#: 36451
CINCINNATI, OH
Past

April 13, 2020 - January 28, 2021

SILVER OAK SECURITIES, INCORPORATED

BD
CRD#: 46947
JACKSON, TN
Past

September 29, 2015 - March 29, 2016

CURIAN CAPITAL, LLC

RIA
CRD#: 120270
DENVER, CO
Past

May 27, 2013 - October 2, 2013

CURIAN CAPITAL, LLC

RIA
CRD#: 120270
DENVER, CO
Past

February 7, 2013 - April 13, 2018

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
DENVER, CO

State Registrations and Notice Filings

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

RR
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

RR
California
(4/4/2024)
RR
Colorado
(11/17/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/24/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/1/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/13/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 2/6/2013
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 4/16/2025
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MA
MM ASCEND LIFE INVESTOR SERVICES, LLC
AAG SECURITIES, INC. | MM ASCEND LIFE INVESTOR SERVICES, LLC | GREAT AMERICAN ADVISORS, LLC | GREAT AMERICAN ADVISORS, INC. | GREAT AMERICAN ADVISORS LLC | GAA INSURANCE AGENCY

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)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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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
12

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
MASSMUTUAL ASCEND LIFE INSURANCE COMPANYOWNER
HIGGINS, THOMAS PETERAML OFFICER2689801
KRAMER, SCOTT ALANVP, CO-CCO, AML OFFICER, AND CISO4941092
NERONE, PETER JAMESPRESIDENT/CEO/CCO/AML OFFICER/GP/MP/CT1953641
PURDON, ATHENA MARIETREASURER/FIN OP3262378

Disclosures

Regulatory Event4

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

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451Cincinnati, OH 45202

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