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Philip Andrew Poonoosamy

MM Ascend Life Investor Services, LLC

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About Philip Andrew Poonoosamy

Philip Andrew Poonoosamy is a registered representative with MM Ascend Life Investor Services, LLC. Philip has been in the securities industry since August 17, 2011. Previously, Philip was a registered representative with HSBC Securities (USA) INC. Philip holds the Series 6, 7, 63, and 66 securities licenses and the SIE exam. Philip is currently registered with the state of Ohio. Philip is also registered as an Investment Advisor Representative with MM Ascend Life Investor Services, LLC. While Philip's firm is currently registered with the SEC as an Investment Advisor, Philip's firm is not currently providing advisory services and Philip is not currently serving clients.

Firm Information

Philip Poonoosamy is currently registered with MM Ascend Life Investor Services, LLC. MM Ascend Life Investor Services, LLC is a Limited Liability Company formed in 2021 that is registered in all 50 states and the District of Columbia. It offers other advisory services and is not currently providing active advisory services. It maintains 12 licensed agents, 12 investment adviser representatives, 12 registered representatives, and 2 investment advisory functions. The firm has filed four regulatory event disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

124

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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maintaining registration but not actively providing advisory services

Maintaining registration but not actively providing advisory services

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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other

Maintaining registration but not serving clients

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Philip Poonoosamy’s Registration & Firm History

OH

06/10/2016 - Present

MM Ascend Life Investor Services, LLC (CINCINNATI OH)

NY

07/18/2011 - 07/21/2014

HSBC SECURITIES (USA) INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 05/16/2016

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/05/2011

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/01/2013

Series 7 - General Securities Representative Examination

BC

Issued 07/15/2011

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Philip Andrew Poonoosamy.
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