Michael Sappington has been Managing Member, Chief Financial Officer and Chief Compliance Officer of Ascension Wealth Partners since July 2008, is a control person of the firm and directly owns between 25% and 50% of it.
Ascension Wealth Partners, LLC is a Pleasant Hill, CA firm with $137M under management, 40 clients and 2 advisers in one office, as of its January 2026 filing.
Michael R. Sappington is Chief Financial Officer and Chief Compliance Officer of Ascension Wealth Partners, LLC. He has over twenty-five years of financial services industry experience, having worked for several investment firms, including full service and discount brokerage, bank brokerage and Registered Investment Advisory firms. After working with Kory Swekla for several years, he joined Swekla in establishing Ascension Wealth Partners.
Michael Sappington’s longest registration is the current one, 18 years at Ascension Wealth Partners since 2008. Before joining Ascension Wealth Partners in 2008, Michael Sappington was registered through Equius Partners, Inc. and Charles Schwab & Co., Inc.
- – present · 18 yearsPleasant Hill, CA · Adviser representative · Firm CRD 146451
- Equius Partners, Inc.– · under a yearNovato, CA · Adviser representative · Firm CRD 110450
- Charles Schwab & Co., Inc.– · 5 yearsWalnut Creek, CA · Adviser representative · Firm CRD 5393
Investment adviser representative registrations
Michael Sappington is registered as an investment adviser representative in California, since March 2008.
- CaliforniaSince 7 March 2008
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 3 May 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 19 March 1993 |
| Series 7 | General Securities Representative Examination | 8 March 1993 |
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Michael Richard Sappington
- CRD
- 2314542
- Firm
- Ascension Wealth Partners · CRD 146451
- Role
- Managing Member, Chief Financial Officer and Chief Compliance Officer
- Office
- 391 TAYLOR BOULEVARD, SUITE 125, Pleasant Hill, CA 94523
- Registration
- Investment adviser registration
- In the industry since
- May 2002
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- ascensionwp.com
Where does Michael Sappington work?
Michael Sappington has been Managing Member, Chief Financial Officer and Chief Compliance Officer of Ascension Wealth Partners, LLC since July 2008, and is a control person of the firm.
Is Michael Sappington a financial advisor?
Yes. Michael Sappington has a current investment-adviser registration in California, through Ascension Wealth Partners since March 2008.
How many years of experience does Michael Sappington have?
Michael Sappington has 24 years in the financial industry, since May 2002, across 3 adviser firms.
What exams has Michael Sappington passed?
Michael Sappington has passed 3 licensing exams: the Series 7, Series 63 and Series 66. The earliest, the Series 7, was passed in March 1993.
Where did Michael Sappington work before Ascension Wealth Partners?
Before Ascension Wealth Partners, Michael Sappington was registered through Equius Partners, Inc., June 2007 to January 2008; Charles Schwab & Co., Inc., May 2000 to July 2005.
Where is Michael Sappington based?
Michael Sappington’s registered office is in Pleasant Hill, CA.
Is Michael Sappington registered with FINRA?
No. Michael Sappington has no current broker registration.
How can I verify Michael Sappington’s record?
Search CRD 2314542 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Michael Sappington’s full registration record.