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EA

Erik R. Ambrose

WALLACHBETH CAPITAL LLC
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 2181163
EA

Professional summary

Erik Robert Ambrose is a registered financial professional currently at WALLACHBETH CAPITAL LLC located in Boca Raton, Florida.

Erik is registered as a RR (Registered Representative) and started their career in finance in 1991. Erik has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

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 Erik Robert Ambrose's CRS (Customer Relationship Summary).
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

October 1, 2009 - Present

WALLACHBETH CAPITAL LLC

Office #1: 1001 Yamato Rd. Suite 404, Boca Raton, FL 33431
BD
CRD#: 147853
Boca Raton, FL
Past

November 27, 2007 - August 1, 2008

VEROS CAPITAL MANAGEMENT, INC.

RIA
CRD#: 127904
SANTA ANA, CA
Past

October 3, 2000 - October 19, 2007

UNX LLC

BD
CRD#: 46145
EXCELSIOR, MN
Past

January 7, 2000 - August 29, 2000

POTOMAC SECURITIES, INC.

BD
CRD#: 25620
BETHESDA, MD
Past

February 2, 1995 - January 13, 1998

IAI SECURITIES, INC.

BD
CRD#: 27917
MINNEAPOLIS, MN
Past

October 10, 1991 - December 14, 1994

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

October 10, 1991 - December 14, 1994

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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
California
(3/5/2015)
RR
Georgia
(3/5/2015)
RR
Illinois
(3/5/2015)
RR
Maryland
(3/5/2015)
RR
Massachusetts
(3/5/2015)
RR
Minnesota
(10/1/2009)
RR
Missouri
(3/5/2015)
RR
New Jersey
(3/5/2015)
RR
New York
(10/1/2009)
RR
North Carolina
(3/6/2015)
RR
Texas
(3/5/2015)
RR
Utah
(3/5/2015)
RR
Wisconsin
(3/5/2015)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/26/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/11/1991
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: 10/8/1991
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

WC
WALLACHBETH CAPITAL LLC
WALLACHBETH CAPITAL LLC

CRD#: 147853 / SEC#: , 8-67936

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

Main Address
1001 Yamato Rd. Suite 404, Boca Raton, FL 33431
Mailing Address
1001 Yamato Rd. Suite 404, Boca Raton, FL 33431
Phone number
(646) 237-8585
Established
New York since 05/05/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (44 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WALLACHBETH HOLDINGS LLC95% OWNER
SAGO MANAGEMENT, LLC5% OWNER
BETH, DAVID JAYCOO/PRESIDENT/ MANAGING MEMBER2470494
OH, SEUNG CHEOLCFO, FNOP4632040
SCHWEITZER, ERIC BRUCECHIEF COMPLIANCE OFFICER1036891
WALLACH, MICHAEL CONRADCHIEF EXECUTIVE OFFICER/MANAGING MEMBER2376092

Disclosures

Regulatory Event2

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

WALLACHBETH CAPITAL LLC

CRD#: 147853Boca Raton, FL 33431

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