Douglas J. Ambrose
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.
Douglas John Ambrose was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1991. Douglas had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2014 - June 11, 2018
NATIONWIDE INVESTMENT ADVISORS, LLC
August 2, 2013 - June 11, 2018
NATIONWIDE INVESTMENT SERVICES CORPORATION
December 12, 2012 - March 5, 2013
MANULIFE INVESTMENT MANAGEMENT (US) LLC
July 28, 2010 - December 31, 2010
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
July 21, 2010 - March 5, 2013
JOHN HANCOCK DISTRIBUTORS LLC
November 20, 2008 - April 6, 2010
MML INVESTORS SERVICES, LLC
September 4, 2008 - November 5, 2008
PRINCIPAL SECURITIES, INC.
April 24, 2006 - November 5, 2008
PRINCIPAL SECURITIES, INC.
September 14, 1999 - January 6, 2005
CETERA WEALTH SERVICES, LLC
February 1, 1999 - September 22, 2000
AETNA FINANCIAL SERVICES, INC.
October 15, 1993 - January 3, 2005
VOYA FINANCIAL PARTNERS, LLC
April 2, 1991 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
Primary Firm SEC Registration
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
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
Current Firm
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 270,365 |
| AUM (Assets Under Management) | $ 15,686,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 01/26/2024 | ||
| 10/26/2022 |
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.
