James K. Ambrosio
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Kenneth Ambrosio, who also goes by James K Ambrosio, Jim Ambrosio, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1995. James had worked at 7 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2023 - January 8, 2024
VISION 4 FUND DISTRIBUTORS
February 6, 2018 - December 31, 2022
DAVIS DISTRIBUTORS, LLC
October 5, 2017 - January 28, 2018
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
December 1, 2006 - May 30, 2017
JANUS HENDERSON INVESTORS
February 18, 2005 - May 30, 2017
FORESIDE FUND SERVICES, LLC
February 4, 2005 - November 29, 2006
JANUS HENDERSON INVESTORS
October 6, 2004 - January 3, 2005
VAN KAMPEN ADVISORS INC
July 14, 1995 - January 3, 2005
INVESCO CAPITAL MARKETS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
VISION 4 FUND DISTRIBUTORS
CRD#: 298105 / SEC#: , 8-70175
Contact information
FINRA licenses (27 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GARD, DAVID WAYNE | MANAGING DIRECTOR | 722647 |
| JOHNSON, HENRY P | MANAGING DIRECTOR | 5559118 |
| KUJALOWICZ, PAUL EDWARD | PRESIDENT/MANAGING DIRECTOR | 1020049 |
| SULLIVAN, CORNELIUS JOSEPH | MANAGING DIRECTOR | 2094448 |
| VAINISI, JEROME ARTHUR | CHIEF EXECUTIVE OFFICER | 2011056 |
| FOSTER, TODD MICHAEL | PASSIVE MEMBER | 3024634 |
| GREER, JOHN WILLIAM | PASSIVE MEMBER | 6148298 |
| LEE, BRYAN MATTHEW | PASSIVE MEMBER | 4779819 |
| QUALTERS, DONALD P | PASSIVE MEMBER | 3184519 |
| DAVIS, TAYLOR RENEE | CHIEF COMPLIANCE OFFICER | 5384424 |
| PORTWOOD, WILLIAM BOYCE | CHIEF FINANCIAL OFFICER/FINOP/PFO/POO | 4853700 |
Red Flags
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