CRD #36451 · FINRA BrokerCheck + SEC IAPD

MM Ascend Life Investor Services, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, MM Ascend Life Investor Services, LLC ranks #1,797 of 20,055 by disclosure count (most disclosures first). Among firms registered in OH, it ranks #13 of 57 on the same disclosure sort used on the state browse page. MM Ascend Life Investor Services, LLC carries 4 BrokerCheck disclosures across 9 branch offices - moderate load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
9
branch offices
4
disclosures
#1,797 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 36451 MM Ascend Life Investor Services, LLC

MM Ascend Life Investor Services, LLC · Grade B · 4 disc · 0.44/office · Small firm

  • CRD 36451
  • GRADE B
  • DISC 4
  • REG 4
  • ARB 0
  • CIV 0
  • BRANCH 9
  • PER-OFF 0.44
  • RANK #1,797 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Cabrera Capital Markets, LLC (0.44 disc/office)

Cabrera Capital Markets…0.44CNR Securities, LLC0.44J. Alden Associates, Inc.0.44MM Ascend Life Inve… (this)0.44
Disclosures per office among small firm peers (lower is cleaner)

MM Ascend Life Investor Services, LLC ranks #1,797 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.44 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

9 offices

FINRA: Small firm

Total disclosures

4 events

On FINRA BrokerCheck

Regulatory events

4 actions

100% of all disclosures

Disclosures per office

0.44 per office

4 ÷ 9 offices

MM Ascend Life Investor Services, LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 63% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). This entry sits in this band. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 4
Arbitrations 0
Civil Events 0
Total 4

Counts for MM Ascend Life Investor Services, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 4 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Cincinnati, OH
CRD Number
36451

Regulator-heavy mix

MM Ascend Life Investor Services, LLC in the heavier-disclosure third

MM Ascend Life Investor Services, LLC carries 4 BrokerCheck disclosures across 9 branch offices - a heavier-third raw book among graded firms (#1,797 of 20,055). Regulator-initiated events are 100% of the book (4 regulatory / 0 arbitration / 0 civil).

100% of MM Ascend Life Investor Services, LLC's 4 disclosures are regulator-initiated (4 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of MM Ascend Life Investor Services, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Ohio cohort · 0.97× state average

MM Ascend Life Investor Services, LLC tracks near the Ohio disclosure average

MM Ascend Life Investor Services, LLC reports 4 BrokerCheck disclosures, about 0.97× the Ohio average of 4.1 across 57 graded firms.

In Ohio, 26 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Ohio state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does MM Ascend Life Investor Services, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, MM Ascend Life Investor Services, LLC ranks #1,797 of 20,055 by disclosure count (most disclosures first). Among firms registered in OH, it ranks #13 of 57 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for MM Ascend Life Investor Services, LLC?
A grade of B reflects MM Ascend Life Investor Services, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 4 total disclosures across 9 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does MM Ascend Life Investor Services, LLC have?
MM Ascend Life Investor Services, LLC has 4 total FINRA disclosures, including 4 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is MM Ascend Life Investor Services, LLC?
MM Ascend Life Investor Services, LLC operates 9 branch offices and is classified by FINRA as a small firm, registered in OH (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify MM Ascend Life Investor Services, LLC's disciplinary record?
You can verify MM Ascend Life Investor Services, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 36451. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid MM Ascend Life Investor Services, LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. MM Ascend Life Investor Services, LLC carries 4 disclosures across 9 branch offices (about 0.44 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for MM Ascend Life Investor Services, LLC, both outside OH so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Cabrera Capital Markets, LLC (IL) - 0.44 disclosures/office, nearest small firm peer to MM Ascend Life Investor Services, LLC's 0.44
  • CNR Securities, LLC (NY) - 0.44 disclosures/office, nearest small firm peer to MM Ascend Life Investor Services, LLC's 0.44
  • J. Alden Associates, Inc. (PA) - 0.44 disclosures/office, nearest small firm peer to MM Ascend Life Investor Services, LLC's 0.44
  • Firms in OH - state roster that includes MM Ascend Life Investor Services, LLC's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like MM Ascend Life Investor Services, LLC.
  • Reading BrokerCheck Reports - How MM Ascend Life Investor Services, LLC's 0.44 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to MM Ascend Life Investor Services, LLC.
  • Compare firms - put MM Ascend Life Investor Services, LLC next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.