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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

Joseph David Wilcox

Advisor at ASCENSUS INVESTMENT ADVISORS, LLC

NEEDHAM, MA | LEXINGTON, KY

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Search this name across graphsid dfx:ria:10cec8c7-a523-0a5b-4ad3-5da73e1f7e20

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 18, 2004 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ASCENSUS INVESTMENT ADVISORS, LLC
Current firm class: institutional managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Aug 17, 2004
First registration: Aug 18, 2004
Dual registered: yes, broker-dealer
Other names: Joseph D Wilcox|Joseph Wilcox
IAPD individual key: 4794110

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ASCENSUS INVESTMENT ADVISORS, LLC	Institutional manager	Oct 30, 2019	n/a	yes	LEXINGTON, KY\|NEEDHAM, MA	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Nov 17, 2017	Apr 16, 2019	no	LEXINGTON, KY\|LEXINGTON, KY	Previous registration
CITIZENS SECURITIES, INC.	Bd affiliated wealth	May 23, 2016	Mar 27, 2017	no	BETHEL PARK, PA	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Jan 6, 2006	May 19, 2016	no	PITTSBURGH, PA\|PITTSBURGH, PA\|PITTSBURGH, PA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Aug 18, 2004	Nov 8, 2005	no	CANNONSBURG, PA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
J.P. MORGAN SECURITIES LLC	ASCENSUS INVESTMENT ADVISORS, LLC	Apr 16, 2019	Oct 30, 2019	197	Firm change	Other
CITIZENS SECURITIES, INC.	J.P. MORGAN SECURITIES LLC	Mar 27, 2017	Nov 17, 2017	235	Firm change	Other
PNC WEALTH MANAGEMENT	CITIZENS SECURITIES, INC.	May 19, 2016	May 23, 2016	4	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	PNC WEALTH MANAGEMENT	Nov 8, 2005	Jan 6, 2006	59	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
129052:39550:PA:2016-05-19	May 19, 2016	May 23, 2016	PITTSBURGH, PA	Firm change

Relationships

Registered with (5)

→ ASCENSUS INVESTMENT ADVISORS, LLCRegistered adviserregistration: current employment
Oct 30, 2019 to presentfactForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Nov 17, 2017 to Apr 16, 2019factForm ADV
→ CITIZENS SECURITIES, INC.Registered adviserregistration: previous registration
May 23, 2016 to Mar 27, 2017factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jan 6, 2006 to May 19, 2016factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Aug 18, 2004 to Nov 8, 2005factForm ADV

Dated events

No dated event names this entity yet.