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Carolyn M. Fraser

ASCENSUS BROKER DEALER SERVICES
Dresher, PA 19025
Some features on this profile are disabled
CRD#: 6196439
CF

Professional summary

Carolyn Marie Fraser, who also goes by Carolyn Marie Lemke, Carolyn Lemke, is a registered financial professional currently at ASCENSUS BROKER DEALER SERVICES, LLC located in Dresher, Pennsylvania.

Carolyn is registered as a RR (Registered Representative) and started their career in finance in 2013. Carolyn has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carolyn Marie Lemke | Carolyn Lemke

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 Carolyn Marie Fraser'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®
None

Experience

Current

October 19, 2018 - Present

ASCENSUS BROKER DEALER SERVICES, LLC

Office #1: 200 Dryden Road, Dresher, PA 19025
BD
CRD#: 36478
Dresher, PA
Past

January 6, 2017 - October 19, 2018

ASCENSUS FINANCIAL SERVICES, LLC.

BD
CRD#: 147257
DRESHER, PA
Past

August 7, 2013 - November 29, 2016

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
MALVERN, PA

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
Massachusetts
(3/6/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 9/9/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/7/2013
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AB
ASCENSUS BROKER DEALER SERVICES, LLC
ASCENSUS BROKER DEALER SERVICES, INC. | UPROMISE INVESTMENTS, INC. | PREMIER MUTUAL FUND SERVICES, INC. | PREMIER DISTRIBUTOR, INC. | ASCENSUS BROKER DEALER SERVICES, LLC

CRD#: 36478 / SEC#: , 8-47312

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

Main Address
95 Wells Avenue Suite 160, Newton, MA 02459
Mailing Address
95 Wells Avenue Suite 160, Newton, MA 02459
Phone number
(215) 648-1272
Established
Delaware since 01/01/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ASCENSUS, LLC100% STOCKHOLDER OF ASCENSUS BROKER DEALER SERVICES, LLC
DUNN, MICHAEL SEANSENIOR VICE PRESIDENT3045371
FOLMER, MICHAEL ROBERTTREASURER AND VICE PRESIDENT, TAX AND FINANCE5655451
GEARIN, JAMES MPRESIDENT1405150
GINGOLASKI, DENISE MAKSIMOWFINANCIAL AND OPERATIONS PRINCIPAL6218228
GINGOLASKI, DENISE MAKSIMOWPRINCIPAL FINANCIAL OFFICER6218228
GINGOLASKI, DENISE MAKSIMOWPRINCIPAL OPERATIONS OFFICER6218228
KAPLAN, ROBERT BARRYSECRETARY1286735
KAPLAN, ROBERT BARRYCHIEF COMPLIANCE OFFICER1286735
SHANNON, MICHAEL DOUGLASSENIOR VICE PRESIDENT1314743

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

ASCENSUS BROKER DEALER SERVICES, LLC

CRD#: 36478Dresher, PA 19025

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