Donald R. Ames

AMES CAPITAL MANAGEMENT

Sarasota, FL

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CRD#: 1500301

Professional summary

Donald Robert Ames is a registered financial advisor currently at AMES CAPITAL MANAGEMENT, INC. located in Sarasota, Florida.

Donald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Donald has worked at 10 firms and has passed the Series 65, Series 63, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

DONALD AMES IS AN ATTORNEY LICENSED TO PRACTICE LAW IN THE STATE OF NEW YORK, IS A CPA AND WORKS AS A CONSULTANT, WHICH ACCOUNTS FOR APPROXIMATELY 20% OF HIS TIME.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Robert Ames'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

August 7, 2013 - Present

AMES CAPITAL MANAGEMENT, INC.

RIA

CRD#: 167806

Sarasota, FL

Past

December 6, 2022 - January 19, 2023

LEVEL FOUR ADVISORY SERVICES

RIA

CRD#: 134086

SARASOTA, FL

Past

August 7, 2013 - December 16, 2022

AMES CAPITAL MANAGEMENT, INC.

RIA

CRD#: 167806

SARASOTA, FL

Past

January 17, 2007 - October 1, 2007

DALMORE GROUP LLC

CRD#: 136352

WOODMERE, NY

Past

August 15, 2002 - November 23, 2004

TAFFERER TRADING, LLC

CRD#: 36816

NEW YORK, NY

Past

April 24, 2001 - August 6, 2002

HILL THOMPSON MAGID & CO., INC.

CRD#: 2202

JERSEY CITY, NJ

Past

September 25, 1998 - March 21, 2001

KNIGHT CAPITAL AMERICAS, L.P.

CRD#: 38599

JERSEY CITY, NJ

Past

October 2, 1995 - August 7, 1998

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

NEW YORK, NY

Past

November 1, 1994 - February 8, 1995

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

February 10, 1988 - April 2, 1992

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

May 27, 1986 - December 21, 1987

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(8/7/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/6/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/19/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 3/27/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 5/24/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/16/1996

General Securities Principal Examination

Current Firm

AMES CAPITAL MANAGEMENT, INC.

CRD#: 167806 / SEC#:

Florida

Registered Investment Advisory firm - (8/7/2013 Approved)

New York

Registered Investment Advisory firm - (12/16/2022 Terminated)

Ohio

Registered Investment Advisory firm - (12/19/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Sarasota, FL

Mailing Address

Phone number

(941) 378-5000

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	30
AUM (Assets Under Management)	$ 10,500,000

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.

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Advisor Monitoring

Firm Stability Insights

Donald R. Ames

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Robert Ames's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEVEL FOUR ADVISORY SERVICES

AMES CAPITAL MANAGEMENT, INC.

DALMORE GROUP LLC

TAFFERER TRADING, LLC

HILL THOMPSON MAGID & CO., INC.

KNIGHT CAPITAL AMERICAS, L.P.

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CANTOR FITZGERALD & CO.

UBS SECURITIES LLC

DREXEL BURNHAM LAMBERT INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 8/6/2013

Series 63

Date: 11/19/1994

Series 55

Date: 3/27/2000

Series 7

Date: 5/24/1986

Series 24

Date: 11/16/1996

Current Firm

AMES CAPITAL MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

AMES CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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