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Stephen Carrera

Ascensus Investment Advisors, LLC

Broomfield, CO

Needham, MA

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Current Employers
Ascensus Investment Advisors, Llc

140 Kendrick Street Building C Floor 3 Suite C320, Needham, MA 02494 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2024-06-10
  • MA RA
    APPROVED
    Since 2024-06-10

Branch Locations

13672 Osage Street, Broomfield, CO 80023 • United States

140 Kendrick Street Building C Floor 3 Suite C320, Needham, MA 02494 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Massachusetts Mutual Life Insurance Company Springfield MA 10/2015 12/2020
Mml Distributors Llc Baltimore MD 10/2015 12/2020
Nationwide Investment Services Corporation Columbus OH 02/2022 03/2024
Ascensus Dresher PA 03/2024 Present
Unemployed Baltimore MD 12/2020 02/2022
  • 10/2015 → 12/2020
    Massachusetts Mutual Life Insurance Company
    Springfield, MA
  • 10/2015 → 12/2020
    Mml Distributors Llc
    Baltimore, MD
  • 02/2022 → 03/2024
    Nationwide Investment Services Corporation
    Columbus, OH
  • 03/2024 → Present
    Ascensus
    Dresher, PA
  • 12/2020 → 02/2022
    Unemployed
    Baltimore, MD
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-05-09
S63 Uniform Securities Agent State Law Examination 2000-03-07
  • S65 Uniform Investment Adviser Law Examination
    2022-05-09
  • S63 Uniform Securities Agent State Law Examination
    2000-03-07
Other Names
  • Stephen Garth Carrera

View on SEC IAPD

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