James AmbroseCRD 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 24 years of experience in the finance industry.
Ubs Financial Services Inc.
Charles Schwab & Company, Inc.
|Bank Of America, Na||Omaha, NE||Dec 2009 - Current||13|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Omaha, NE||Nov 1998 - Current||24|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Mar 1999|
Total Assets Under Management1,093,689MILLIONS
Total Number of Accounts2,864,234ACCOUNTS
Average Account Value$381,844
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
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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