Brian Ambrose, financial advisor Walnut Creek CA
96 score

Brian Ambrose

CRD Number: 1393073
Current Firm: Brokers Financial

Brian Ambrose (CRD# 1393073) is an Investment Advisor Representative working at Brokers Financial in Walnut Creek, CA and has over 30 years of experience in the finance industry. Brian Ambrose has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Brokers International Financial Services, LLC Walnut Creek, CA Mar 2015 - Current 1
Ambrose Financial & Ins Services LLC Walnut Creek, CA Dec 2006 - Current 10
Brian Ambrose Walnut Creek, CA Dec 1985 - Current 31
Client One Securities, LLC Walnut Creek, CA Feb 2014 - Mar 2015 1
Cambridge Investment Research, Inc. Fairfield, IA Dec 2009 - Jan 2010 < 1
Woodbury Financial Services Walnut Creek, CA Dec 2008 - Jan 2009 < 1
Fsc Securities Corporation Concord, CA Apr 2003 - Dec 2006 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1986
Contact Info for Brian A. Ambrose
Phone Number: 641-755-4635
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    167
    MILLIONS
  • Total Number of Accounts
    1,753
    ACCOUNTS
  • Average Account Value
    $95,501
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

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

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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