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Pleasant Grove, UT • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| UT | RA | APPROVED | 2020-06-08 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| World Financial Group, Inc | American Fork | UT | 07/2011 | 12/2017 |
| Transamerica Financial Advisors, Inc | American Fork | UT | 06/2013 | 12/2017 |
| Legacy Planning Group, Inc. | Draper | UT | 12/2017 | 08/2018 |
| H. Beck, Inc. | Draper | UT | 12/2017 | 06/2018 |
| Lone Peak Advisers, Inc. | Draper | UT | 06/2018 | 02/2020 |
| Ascend Investment Management, Llc | Salt Lake City | UT | 05/2020 | Present |
| Ascend Life Insurance, Llc | Salt Lake City | UT | 02/2020 | Present |
Owner/Partner at Ascend Management Holdings, LLC CAPACITY AT AMH: Owner/Partner NATURE: Business operations INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 02/28/2020 ADDRESS: 5353 S 960 W Ste 225, Salt Lake City, UT, United States DESCRIPTION: Parent company to Life Insurance Operations Co-director at Ascend Life Insurance, LLC utilizing Independent Agent Registration with Nelson Financial Group as IMO CAPACITY AT NFG: Agent NATURE: Insurance Sales (Investment-Related OBA) INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 02/28/2020 ADDRESS: 5353 S 960 W Ste 225, Salt Lake City, UT, United States DESCRIPTION: Evaluate and recommend life insurance strategies as part of overall financial plan
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-03-06 |
| S63 | Uniform Securities Agent State Law Examination | 2014-08-18 |
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