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Stephen D. Ambrosini

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CRD#: 1235905
SA

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.

Stephen David Ambrosini, who also goes by Stephen David Ambrosini, was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1984. Stephen had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen David Ambrosini

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Prime Capital Investment Advisors, LLC. Investment Related, 6201 College Blvd, Suite #150, Overland Park, KS 66211. RIA, IAR 160 hrs/mo; 80 during trading hrs. Provide sale and service of investment advisory services 2) Insurance agent. 2041 San Elijo Ave, Cardiff by the Sea, CA 92007. Non investment related. Sale and service of insurance products though various vendors. 1 hr/mo; 1 during trading hrs. 3) PCRM, LLC. 6201 College Blvd-Ste #150. Doing business as Prime Capital Risk Management. Fixed-insurance products. Insurance agent, sale and service of fixed insurance products, including through non-affiliated insurance marketing organizations (IMOS). 5 hrs/mo; 5 during trading hrs. 4) CHHSZ HOLDINGS, LLC, INVESTMENT RELATED, 6201 COLLEGE BLVD STE#150 OVERLAND PARK KS 66211, PARTNER, CHHSZ HOLDINGS LLC IS A LIMITED LIABILITY COMPANY "LLC" FORMED IN OCTOBER 2019 UNDER THE LAWS OF THE STATE OF DELAWARE. CHHSZ HOLDINGS LLC IS THE SOLE OWNER OF PRIME CAPITAL INVESTMENT ADVISORS, LLC (PCIA), A REGISTERED INVESTMENT ADVISOR. MEMBER PROVIDES ADVISORY SERVICES AS AN IRA OF PCIA, <1 HR /MONTH, <1 HR / MONTH DURING TRADING.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 8, 2022 - December 31, 2022

20/20 CAPITAL MANAGEMENT, INC

RIA
CRD#: 281692
Cardiff, CA
Past

May 2, 2022 - January 27, 2025

PRIME CAPITAL FINANCIAL

RIA
CRD#: 288712
Cadiff, CA
Past

January 14, 2022 - December 10, 2024

PRIVATE CLIENT SERVICES, LLC

BD
CRD#: 120222
Cardiff by the Sea, CA
Past

March 18, 2016 - November 7, 2022

20/20 CAPITAL MANAGEMENT, INC

RIA
CRD#: 281692
COSTA MESA, CA
Past

September 30, 2004 - October 2, 2017

AMERITAS INVESTMENT COMPANY, LLC

RIA
CRD#: 14869
CARDIFF BY THE SEA, CA
Past

October 31, 2003 - January 31, 2022

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
CARDIFF BY THE SEA, CA
Past

May 27, 2003 - September 30, 2004

THE ADVISORS GROUP, INC.

RIA
CRD#: 14035
SAN DIEGO, CA
Past

April 2, 1991 - October 31, 2003

THE ADVISORS GROUP, INC.

BD
CRD#: 14035
BETHESDA, MD
Past

July 21, 1989 - April 10, 1991

CARILLON INVESTMENTS, INC.

BD
CRD#: 14646
CINCINNATI, OH
Past

July 26, 1984 - September 1, 1988

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/23/2003
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 8/6/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/19/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/21/1984
General Securities Representative Examination

Current Firm

2C
20/20 CAPITAL MANAGEMENT, INC
20/20 CAPITAL MANAGEMENT, INC | ORCA FINANCIAL | HEITZMAN AND ASSOCIATES | CORFEE AND ASSOCIATES | CARRERAS FINANCIAL SERVICES | BOOM PLANNING | 20/20 FINANCIAL ADVISERS SAN FRANCISCO | 20/20 FINANCIAL ADVISERS SAN DIEGO | 20/20 FINANCIAL ADVISERS SACRAMENTO | 20/20 FINANCIAL ADVISERS PALMER GROUP LLC | 20/20 FINANCIAL ADVISERS ORANGE COUNTY | 20/20 FINANCIAL ADVISERS MISHEWAKA | 20/20 FINANCIAL ADVISERS LEONARD SIMPSON | 20/20 FINANCIAL ADVISERS INDIANAPOLIS | 20/20 FINANCIAL ADVISERS HOUSTON | 20/20 FINANCIAL ADVISERS EXETER | 20/20 FINANCIAL ADVISERS DELAWARE | 20/20 FINANCIAL ADVISERS DAYTONA BEACH | 20/20 FINANCIAL ADVISERS CARDIFF BY THE SEA

CRD#: 281692 / SEC#: 801-106924

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Contact information

Main Address
940 South Coast Drive Ste 110, Costa Mesa, CA 92626
Mailing Address
Phone number
(714) 433-1299
Established
Firm type
Fiscal year end
# of Employees
38

Documents

Latest Form ADV

Part 2 Brochures

2020 CMI WRAP BROCHURE 20220202 (3/24/2022)
2020 CMI ADV2A BROCHURE JUNE 30 2021 (3/24/2022)

Regulatory assets under management

Total Number of Accounts2,427
AUM (Assets Under Management)$ 676,645,493

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

20/20 CAPITAL MANAGEMENT, INC

CRD#: 281692

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