DL
Dominick Leuzzi
THE ASCENT GROUP
Wayne, PA 19087
CRD#: 7236818
DL
Professional summary
Dominick Leuzzi IV is a registered financial advisor currently at THE ASCENT GROUP, LLC located in Wayne, Pennsylvania and OSAIC WEALTH, INC. located in Wayne, Pennsylvania.
Dominick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Dominick has worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) Alera Group,Inc;investment related;3 Parkway N,Suite 500,Deerfield,IL 60015;associate with Alera Group;associate;1/2/2023;160 hrs/month;130 hrs during trading;continue to act as a RR and IAR as applicable to continue to serve my existing and new clients 2) The Ascent Group;investment related;5029 Corporate Woods Drive,Suite 200,Virginia Beach,VA;SEC registered RIA;investment advisor;5/30/2022;160 hrs/month;130 hrs during trading;provide investment advice in return for advisor fee 3) Dominick Leuzzi (Property Owner);investment related;33 S Sussex St,Gloucester City,NJ 08030;sole owner of rental property;property owner;1/1/2021;0 hrs/month;0 hrs during trading;oversight of property 4) Walsh & Nicholson Financial Group;investment related;119 W Wayne Avenue,Wayne,PA 19087;provide investment and insurance advice and service to businesses and individuals;jr financial advisor;5/30/2022;160 hrs/month;130 hrs during trading;act as a junior financial advisor to advisor's clients 5) TEA SHIRT COMPANY LLC POSITION: Co-Founder NATURE: LLC. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2019 ADDRESS: 214 Greenwich Street, Philadelphia PA 19147, United States DESCRIPTION: Oversight of business and independent contractors of the business. 6) THE ASCENT GROUP LLC. POSITION: IAR NATURE: LLC. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 05/20/2022 ADDRESS: 192 Ballard Court, STE 400, Virginia Beach VA 23462, United States DESCRIPTION: Provide investment advice in return for advisor fee. 7) WALSH & NICHOLSON FINANCIAL GROUP POSITION: Financial Advisor NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 05/01/2022 ADDRESS: 119 W. Wayne Ave., Wayne PA 19087, United States DESCRIPTION: DBA for securities related business. 8) RENTAL PROPERTY POSITION: Owner NATURE: Sole Prop. INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 12/17/2020 ADDRESS: 33 S. Sussex Street, Gloucester City NJ 08030, United States DESCRIPTION: General oversight of property and tenants. 9) RENTAL PROPERTY POSITION: Owner NATURE: Sole Prop. INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 02/09/2024 ADDRESS: 55 Sayers Ave., Lansdowne PA 19050, United States DESCRIPTION: General oversight of property and tenants. 10) FIXED INSURANCE POSITION: Insurance Agent NATURE: Sole Prop. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 06/01/2024 ADDRESS: 119 W. Wayne Ave., Wayne PA 19087, United States DESCRIPTION: Recommend fixed insurance products in certain scenarios. 11) ALERA GROUP POSITION: Investment Advisor & Financial Planner NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/01/2023 ADDRESS: 119 W. Wayne Ave., Wayne PA 19087, United States DESCRIPTION: Provide financial advice to clients for a fee.
CRS (Client Relationship Summary) - RIA
Click below to view Dominick Leuzzi IV'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®
NoneExperience
Current
August 22, 2022 - Present
THE ASCENT GROUP, LLC
Office #1: 119 W Wayne Ave, Wayne, PA 19087RIA
CRD#: 314424
Wayne, PA
Current
August 23, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 119 West Wayne Avenue, Wayne, PA 19087RIA
BD
CRD#: 23131
Wayne, PA
Past
February 2, 2023 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
Wayne, PA
Past
August 4, 2022 - August 24, 2022
AMERITAS ADVISORY SERVICES, LLC
RIA
CRD#: 317245
WAYNE, PA
Past
July 8, 2022 - January 24, 2023
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
WAYNE, 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".
TA
THE ASCENT GROUP, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WALSH & NICHOLSON | THE ASCENT GROUP, LLC | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | ALERA GROUP WEALTH SERVICES
CRD#: 314424 / SEC#: 801-121182
RIA
Registered Investment Advisory firm - (5/10/2021 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.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(8/23/2024)
RR
Delaware(8/23/2024)
RR
District of Columbia(8/23/2024)
RR
Florida(8/23/2024)
RR
Illinois(8/23/2024)
RR
Iowa(2/10/2025)
RR
Maryland(8/23/2024)
RR
Massachusetts(8/23/2024)
RR
Nebraska(1/13/2025)
RR
New Jersey(8/23/2024)
RR
New York(8/23/2024)
RR
North Carolina(8/23/2024)
RR
Ohio(8/23/2024)
IAR
Pennsylvania(8/22/2022)
RR
Pennsylvania(8/23/2024)
RR
Texas(8/23/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/8/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TA
THE ASCENT GROUP, LLC
ALERA GROUP RETIREMENT PLAN SERVICES | WALSH & NICHOLSON | THE ASCENT GROUP, LLC | SUMMIT GROUP OF VIRGINIA | SUMMIT GROUP 401K CONSULTING | ALERA GROUP WEALTH SERVICES
CRD#: 314424 / SEC#: 801-121182
RIA
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Contact information
Main Address
192 Ballard Court Suite 400, Virginia Beach, VA 23462
Mailing Address
Phone number
(757) 499-8300
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,304 |
| AUM (Assets Under Management) | $ 4,933,296,606 |
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.
