James Ambrose, financial advisor Omaha NE

James Ambrose

CRD Number: 3171850
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

James Ambrose (CRD# 3171850) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Omaha, NE and has over 25 years of experience in the finance industry.

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Principal Advised Services
Company Name Location Dates Years
Bank Of America, Na Omaha, NE Dec 2009 - Current 14
Merrill Lynch, Pierce, Fenner & Smith Incorporated Omaha, NE Nov 1998 - Current 25
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Mar 1999
Contact Info for James W. Ambrose
Phone Number: 800-637-7455
Registered State(s):
  • CT
  • NE
  • TX
By the Numbers
  • Total Assets Under Management
    1,271,594
    MILLIONS
  • Total Number of Accounts
    2,911,578
    ACCOUNTS
  • Average Account Value
    $436,737
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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