Career
David MacInnis has been Chief Compliance Officer and Secretary of Ascensus Investment Advisors since July 2026. David MacInnis is a control person of the firm and directly owns under 5% of it.
Ascensus Investment Advisors, LLC is a Needham, MA firm with $13B under management, 27 clients and 2 advisers in one office, as of its August 2026 filing.
No adviser firm registrations are on David MacInnis’s record.
Credentials and registrations
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 6TO | Investment Company Products/Variable Contracts Representative Examination | 17 July 2026 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 19 June 2002 |
| Series 24 | General Securities Principal Examination | 25 November 2000 |
| Series 7 | General Securities Representative Examination | 7 January 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 27 April 1999 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 15 April 1999 |
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
Individual record
- Full name
- David Bruce MacInnis
- CRD
- 3184368
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does David MacInnis work?
David MacInnis has been Chief Compliance Officer and Secretary of Ascensus Investment Advisors, LLC since July 2026, and is a control person of the firm.
Does David MacInnis have a current investment-adviser registration?
David MacInnis has a current broker registration and no current investment-adviser registration.
What exams has David MacInnis passed?
David MacInnis has passed 6 licensing exams: the Series 6, Series 63, Series 7, Series 24, Series 53 and Series 6TO. The earliest, the Series 6, was passed in April 1999. FINRA credited David MacInnis with the SIE, which began in October 2018.