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BA

Bruce Melville Ambler Jr

CRD# 2182053·Registered 1998 - 2015
Previously Registered: Being a previously registered professional could mean that Bruce 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.

Professional Summary

Bruce Melville Ambler JR, who also goes by Bruce Melville Ambler, was a registered financial advisor. Bruce was a previously registered financial professional and started their career in finance 1998 - 2015. Bruce had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Bruce Melville Ambler

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Videos & Posts

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

28 years in the financial services industry

Current & Past Employments

GFM SECURITIES LLC·CRD# 166315
BD
Philadelphia, PA
June 2, 2014 - December 24, 2015
DEUTSCHE BANK SECURITIES INC.·CRD# 2525
BD
New York, NY
May 1, 2006 - October 1, 2009
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
July 13, 2004 - March 28, 2006
UNICREDIT CAPITAL MARKETS LLC·CRD# 7789
BD
New York, NY
August 12, 2002 - January 15, 2004
BANC OF AMERICA SECURITIES LLC·CRD# 26091
BD
New York, NY
May 15, 1998 - June 17, 2002

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Current Firm

GS
GFM SECURITIES LLC

GFM SECURITIES LLC

CRD#: 166315 / SEC#: 8-69200
BD
Terminated by SEC on 12/27/2015

Contact Information

Established

Delaware since 09/20/2012

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
GROSVENOR FUND MANAGEMENT INC.PARENT141141
AMBLER, BRUCE MELVILLE JRCEO2182053
BERG, KRISTEN LEIGHCCO6350763
MCGRATH, MICHAEL JOHNFINOP/CFO6004426

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 2013About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Dec 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 1998About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Feb 2014About the Series 24 exam

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CRS (Client Relationship Summary)

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

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BA
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