David F. Ambrico
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2025 - October 10, 2025
WATERLOO CAPITAL
January 15, 2025 - March 27, 2025
SIMONET FINANCIAL GROUP, LLC
May 18, 2021 - December 5, 2022
ALLWORTH FINANCIAL, L.P.
April 7, 2020 - January 17, 2023
SIMONET FINANCIAL GROUP, LLC
November 1, 2018 - February 1, 2019
MERCER GLOBAL ADVISORS INC.
October 27, 2017 - February 11, 2019
LINDNER CAPITAL ADVISORS, INC.
June 27, 2014 - June 6, 2017
SYMMETRY PARTNERS
October 2, 2012 - March 18, 2014
JETTRADE, INC.
January 18, 2011 - October 3, 2011
MERCER GLOBAL ADVISORS INC.
December 13, 2010 - January 3, 2011
DUNHAM
December 13, 2010 - January 3, 2011
DUNHAM
April 23, 2010 - June 4, 2010
MARKEL NEWTON
July 7, 2009 - April 13, 2010
BRITEHORN SECURITIES
June 12, 2008 - May 27, 2009
CURIAN CAPITAL, LLC
June 11, 2008 - May 27, 2009
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
April 1, 2008 - June 3, 2008
CAPITAL BROKERAGE CORPORATION
April 7, 2004 - June 2, 2008
ASSETMARK, INC.
November 1, 2002 - April 1, 2008
ASSETMARK CAPITAL CORPORATION
March 13, 2001 - November 1, 2002
PROSPERA FINANCIAL SERVICES, INC.
May 11, 1998 - April 6, 2001
WELLS FARGO CLEARING SERVICES, LLC
October 10, 1997 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
January 12, 1996 - October 15, 1997
MORGAN STANLEY DW INC.
January 4, 1993 - January 26, 1996
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
WATERLOO CAPITAL
CRD#: 133705 / SEC#: 801-63975
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
WATERLOO CAPITAL
CRD#: 133705 / SEC#: 801-63975
Contact information
SEC notice filing (27 States and Territories)
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.
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