Gregory D. Bodoh

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CRD#: 824030

Professional summary

Gregory Dean Bodoh was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Gregory is a previously registered financial advisor and started their career in finance in 1976. Prior to being barred, Gregory had worked at 19 firms, which includes MM ASCEND LIFE INVESTOR SERVICES LLC, ALLSTATE FINANCIAL ADVISORS LLC, WEALTH ADVISORS LLC, ALLSTATE FINANCIAL SERVICES LLC, LEGACY ADVISORY SERVICES INC., LEGACY FINANCIAL SERVICES INC., NEXT FINANCIAL GROUP INC., COREBRIDGE CAPITAL SERVICES INC., PACIFIC SELECT DISTRIBUTORS LLC, MASON SECURITIES INC., DI VALL REAL ESTATE SECURITIES CORPORATION, FRANKLIN/TEMPLETON DISTRIBUTORS LLC, AUGUST MARKETING CORPORATION, UNITED EQUITY SECURITIES CORP., CONDEL SECURITIES INC., ANGELES SECURITIES CORPORATION, FSC SECURITIES CORPORATION, LEGG MASON WOOD WALKER INCORPORATED, BLYTH EASTMAN DILLON & CO. INCORPORATED.

Question & Answer

Are you a "fiduciary"?

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.

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

February 5, 2008 - May 13, 2008

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

WARRENTON, VA

Past

November 21, 2007 - December 14, 2007

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

NORTHBROOK, IL

Past

October 1, 2007 - September 29, 2009

WEALTH ADVISORS, LLC

RIA

CRD#: 124797

VENICE, FL

Past

September 2, 2005 - February 7, 2008

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

WARRENTON, VA

Past

May 29, 2003 - September 27, 2005

LEGACY ADVISORY SERVICES, INC.

RIA

CRD#: 111027

MIDDLEBURG, VA

Past

May 20, 2003 - September 27, 2005

LEGACY FINANCIAL SERVICES, INC.

CRD#: 38697

PETALUMA, CA

Past

October 7, 2002 - May 29, 2003

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

MIDDLEBURG, VA

Past

September 4, 2002 - May 29, 2003

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

HOUSTON, TX

Past

May 17, 2000 - April 9, 2002

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

October 1, 1996 - April 18, 2000

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

NEWPORT BEACH, CA

Past

September 26, 1991 - May 30, 1996

MASON SECURITIES, INC.

CRD#: 12967

RESTON, VA

Past

January 29, 1991 - September 30, 1991

DI VALL REAL ESTATE SECURITIES CORPORATION

CRD#: 13760

MADISON, WI

Past

March 23, 1988 - November 14, 1988

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

Past

December 8, 1986 - March 10, 1987

AUGUST MARKETING CORPORATION

CRD#: 10420

Past

February 11, 1986 - May 21, 1986

UNITED EQUITY SECURITIES CORP.

CRD#: 13709

Past

July 10, 1984 - December 10, 1985

CONDEL SECURITIES, INC.

CRD#: 6710

Past

May 9, 1983 - April 10, 1984

ANGELES SECURITIES CORPORATION

CRD#: 8083

Past

April 17, 1980 - May 6, 1983

FSC SECURITIES CORPORATION

CRD#: 7461

Past

January 11, 1978 - March 28, 1980

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

Past

June 24, 1976 - February 7, 1978

BLYTH EASTMAN DILLON & CO. INCORPORATED

CRD#: 6361

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/9/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/19/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/19/1976

General Securities Representative Examination

Current Firm

MM ASCEND LIFE INVESTOR SERVICES, LLC

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)

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

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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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

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
MASSMUTUAL ASCEND LIFE INSURANCE COMPANY	OWNER
HIGGINS, THOMAS PETER	AML OFFICER	2689801
KRAMER, SCOTT ALAN	VP, CO-CCO, AML OFFICER, AND CISO	4941092
NERONE, PETER JAMES	PRESIDENT/CEO/CCO/AML OFFICER/GP/MP/CT	1953641
PURDON, ATHENA MARIE	TREASURER/FIN OP	3262378

Disclosures

Regulatory Event

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

Gregory D. Bodoh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALLSTATE FINANCIAL ADVISORS, LLC

WEALTH ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

LEGACY ADVISORY SERVICES, INC.

LEGACY FINANCIAL SERVICES, INC.

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

COREBRIDGE CAPITAL SERVICES, INC.

PACIFIC SELECT DISTRIBUTORS, LLC

MASON SECURITIES, INC.

DI VALL REAL ESTATE SECURITIES CORPORATION

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

AUGUST MARKETING CORPORATION

UNITED EQUITY SECURITIES CORP.

CONDEL SECURITIES, INC.

ANGELES SECURITIES CORPORATION

FSC SECURITIES CORPORATION

LEGG MASON WOOD WALKER, INCORPORATED

BLYTH EASTMAN DILLON & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 9/9/2002

Series 63

Date: 11/19/1991

Series 7

Date: 6/19/1976

Current Firm

MM ASCEND LIFE INVESTOR SERVICES, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MM ASCEND LIFE INVESTOR SERVICES, LLC

TRUST BUT VERIFY

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