David F. Ambrico

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CRD#: 2305300

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.

David Frank Ambrico was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1993. David had worked at 20 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

Over&Under Style; Non-Investment Related; Austin, TX; Clothing design and sales; Position - VP/EBS, 100 hours per month devoted to the business AMG Wealth Advisors dba for Waterloo Capital Investment Advisor Representative Since 03/2025 Investment Related

Blog Corner

CRS (Client Relationship Summary)

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

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

Past

March 10, 2025 - October 10, 2025

WATERLOO CAPITAL

RIA

CRD#: 133705

AUSTIN, TX

Past

January 15, 2025 - March 27, 2025

SIMONET FINANCIAL GROUP, LLC

RIA

CRD#: 283561

KYLE, TX

Past

May 18, 2021 - December 5, 2022

ALLWORTH FINANCIAL, L.P.

RIA

CRD#: 111167

Austin, TX

Past

April 7, 2020 - January 17, 2023

SIMONET FINANCIAL GROUP, LLC

RIA

CRD#: 283561

Austin, TX

Past

November 1, 2018 - February 1, 2019

MERCER GLOBAL ADVISORS INC.

RIA

CRD#: 147363

Austin, TX

Past

October 27, 2017 - February 11, 2019

LINDNER CAPITAL ADVISORS, INC.

RIA

CRD#: 108584

Austin, TX

Past

June 27, 2014 - June 6, 2017

SYMMETRY PARTNERS

RIA

CRD#: 120982

GLASTONBURY, CT

Past

October 2, 2012 - March 18, 2014

JETTRADE, INC.

CRD#: 102440

CINCINNATI, OH

Past

January 18, 2011 - October 3, 2011

MERCER GLOBAL ADVISORS INC.

RIA

CRD#: 147363

SANTA BARBARA, CA

Past

December 13, 2010 - January 3, 2011

DUNHAM

RIA

CRD#: 13162

SAN DIEGO, CA

Past

December 13, 2010 - January 3, 2011

DUNHAM

CRD#: 13162

SAN DIEGO, CA

Past

April 23, 2010 - June 4, 2010

MARKEL NEWTON

CRD#: 131662

TOLUCA LAKE, CA

Past

July 7, 2009 - April 13, 2010

BRITEHORN SECURITIES

CRD#: 36402

DENVER, CO

Past

June 12, 2008 - May 27, 2009

CURIAN CAPITAL, LLC

RIA

CRD#: 120270

DENVER, CO

Past

June 11, 2008 - May 27, 2009

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

Past

April 1, 2008 - June 3, 2008

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

April 7, 2004 - June 2, 2008

ASSETMARK, INC.

RIA

CRD#: 109018

CHICAGO, IL

Past

November 1, 2002 - April 1, 2008

ASSETMARK CAPITAL CORPORATION

CRD#: 37583

PLEASANT HILL, CA

Past

March 13, 2001 - November 1, 2002

PROSPERA FINANCIAL SERVICES, INC.

CRD#: 10740

DALLAS, TX

Past

May 11, 1998 - April 6, 2001

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

October 10, 1997 - May 11, 1998

PRINCIPAL FINANCIAL SECURITIES,INC.

CRD#: 260

DALLAS, TX

Past

January 12, 1996 - October 15, 1997

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

January 4, 1993 - January 26, 1996

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WATERLOO CAPITAL

CRD#: 133705 / SEC#: 801-63975

RIA

Registered Investment Advisory firm - (3/11/2005 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 2/23/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/5/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/23/1992

General Securities Representative Examination

Current Firm

WATERLOO CAPITAL

CRD#: 133705 / SEC#: 801-63975

RIA

Registered Investment Advisory firm - (3/11/2005 Approved)

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Contact information

Main Address

2801 Via Fortuna Suite 250, Austin, TX 78746

Mailing Address

Phone number

(512) 777-5900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WATERLOO CAPITAL WRAP FEE PROGRAM BROCHURE (7/29/2025)

WATERLOO CAPITAL PART 2A (7/29/2025)

Regulatory assets under management

Total Number of Accounts	6,775
AUM (Assets Under Management)	$ 1,686,618,820

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

David F. Ambrico

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SIMONET FINANCIAL GROUP, LLC

ALLWORTH FINANCIAL, L.P.

SIMONET FINANCIAL GROUP, LLC

MERCER GLOBAL ADVISORS INC.

LINDNER CAPITAL ADVISORS, INC.

SYMMETRY PARTNERS

JETTRADE, INC.

MERCER GLOBAL ADVISORS INC.

DUNHAM

DUNHAM

MARKEL NEWTON

BRITEHORN SECURITIES

CURIAN CAPITAL, LLC

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CAPITAL BROKERAGE CORPORATION

ASSETMARK, INC.

ASSETMARK CAPITAL CORPORATION

PROSPERA FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

PRINCIPAL FINANCIAL SECURITIES,INC.

MORGAN STANLEY DW INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

WATERLOO CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 2/23/1993

Series 63

Date: 2/5/1993

Series 7

Date: 12/23/1992

Current Firm

WATERLOO CAPITAL

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WATERLOO CAPITAL

TRUST BUT VERIFY

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