Adriana O. Beltran-romeo

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CRD#: 6896179

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.

Adriana Olivare Beltran-romeo, who also goes by Adriana Olivares Beltran-elquarati, Adriana Olivares Beltran-romeo, Adriana Olivares Romeo, Adriana Romeo, was a registered financial professional .

Adriana is a previously registered financial professional and started their career in finance in 2019. Adriana had worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Adriana Olivares Beltran-Elquarati | Adriana Olivares Beltran-Romeo | Adriana Olivares Romeo | Adriana Romeo

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

September 27, 2023 - October 29, 2025

ASCENSUS INVESTMENT ADVISORS, LLC

RIA

CRD#: 120632

Fallbrook, CA

Past

September 11, 2023 - October 29, 2025

ASCENSUS BROKER DEALER SERVICES, LLC

CRD#: 36478

NEWTON, MA

Past

April 7, 2021 - May 19, 2023

ASCENSUS INVESTMENT ADVISORS, LLC

RIA

CRD#: 120632

Fallbrook, CA

Past

March 29, 2021 - May 19, 2023

ASCENSUS BROKER DEALER SERVICES, LLC

CRD#: 36478

NEWTON, MA

Past

July 2, 2020 - March 26, 2021

TD AMERITRADE, INC.

CRD#: 7870

SAN DIEGO, CA

Past

October 17, 2019 - April 23, 2020

EDWARD JONES

RIA

CRD#: 250

ESCONDIDO, CA

Past

August 26, 2019 - April 23, 2020

EDWARD JONES

CRD#: 250

ESCONDIDO, CA

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 10/16/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/24/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/1/2019

Securities Industry Essentials 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

Adriana O. Beltran-romeo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ASCENSUS BROKER DEALER SERVICES, LLC

ASCENSUS INVESTMENT ADVISORS, LLC

ASCENSUS BROKER DEALER SERVICES, LLC

TD AMERITRADE, INC.

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

ASCENSUS INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/16/2019

Series 7TO

Date: 8/24/2019

SIE

Date: 8/1/2019

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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