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DA

David J. Ambrose

WILLIAMS TRADING LLC
Westport, CT 06880
Some features on this profile are disabled
CRD#: 1274980
DA

Professional summary

David John Ambrose is a registered financial professional currently at WILLIAMS TRADING LLC located in Westport, Connecticut.

David is registered as a RR (Registered Representative) and started their career in finance in 1984. David has worked at 8 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David John Ambrose's CRS (Customer Relationship Summary).

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

Current

May 27, 2025 - Present

WILLIAMS TRADING LLC

Office #1: 450 Post Road East Suite 120, Westport, CT 06880
BD
CRD#: 43678
Westport, CT
Past

November 17, 2023 - May 29, 2024

G.RESEARCH, LLC

BD
CRD#: 7353
RYE, NY
Past

May 11, 2017 - April 6, 2023

THE VERTICAL GROUP

BD
CRD#: 104353
RYE, NY
Past

May 24, 2006 - January 18, 2017

OTR GLOBAL TRADING LLC

BD
CRD#: 138116
PURCHASE, NY
Past

July 12, 2001 - December 31, 2008

OTA LLC

BD
CRD#: 25816
PURCHASE, NY
Past

June 13, 1989 - June 14, 2001

SOUNDVIEW TECHNOLOGY CORPORATION

BD
CRD#: 15425
OLD GREENWICH, CT
Past

April 10, 1986 - May 5, 1989

PRESCOTT, BALL & TURBEN, INC.

BD
CRD#: 7656
Past

June 20, 1984 - March 7, 1986

ABN AMRO SECURITIES LLC

BD
CRD#: 6540

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(5/27/2025)
RR
Arizona
(5/27/2025)
RR
California
(5/27/2025)
RR
Colorado
(5/27/2025)
RR
Connecticut
(5/27/2025)
RR
Delaware
(5/27/2025)
RR
Florida
(5/27/2025)
RR
Georgia
(5/27/2025)
RR
Illinois
(5/27/2025)
RR
Indiana
(5/27/2025)
RR
Kansas
(5/27/2025)
RR
Louisiana
(5/27/2025)
RR
Maryland
(5/27/2025)
RR
Massachusetts
(5/27/2025)
RR
Michigan
(5/27/2025)
RR
Minnesota
(5/27/2025)
RR
New Jersey
(5/27/2025)
RR
New York
(5/27/2025)
RR
North Carolina
(5/27/2025)
RR
Ohio
(5/28/2025)
RR
Oklahoma
(5/27/2025)
RR
Oregon
(5/27/2025)
RR
Pennsylvania
(5/27/2025)
RR
Puerto Rico
(5/27/2025)
RR
Rhode Island
(5/27/2025)
RR
South Carolina
(5/27/2025)
RR
Texas
(5/27/2025)
RR
Utah
(5/27/2025)
RR
Virginia
(5/27/2025)
RR
Washington
(5/27/2025)
RR
Wisconsin
(5/27/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 7/2/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/20/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/16/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/23/1996
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

WT
WILLIAMS TRADING LLC
WILLIAMS TRADING LLC

CRD#: 43678 / SEC#: , 8-50372

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
450 Post Road East Suite 120, Westport, CT 06880
Mailing Address
450 Post Road East Suite 120, Westport, CT 06880
Phone number
(203) 353-7600
Established
Connecticut since 12/31/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (31 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
WILLIAMS, DAVID BREWSTERMANAGING MEMBER/GENERAL SECURITIES PRINCIPAL1715713
GOERTZ, JOSEPH THOMASCHIEF COMPLIANCE OFFICER/DIRECTOR OF OPERATIONS5607738
MARCIANO, LANCE DANIELCHIEF OPERATING OFFICER2261020
MOONEY, MATTHEW BRIANREGISTERED OPTIONS PRINCIPAL3100953
MOROVATI, BABAK BOBBYCFO/FINANCIAL OPERATIONS PRINCIPAL/PFO/POO5650049

Disclosures

Regulatory Event1

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

WILLIAMS TRADING LLC

CRD#: 43678Westport, CT 06880

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