Arthur R. 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.
Arthur Ronnie Ambrose, who also goes by Arthur Ronnie Ambrose, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1997. Arthur had worked at 6 firms and has passed the 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
December 5, 2012 - February 1, 2013
PACIFIC PEARL GROUP
March 24, 2010 - December 21, 2010
BUCKMAN, BUCKMAN & REID, INC.
June 29, 2007 - December 31, 2008
GONOW SECURITIES, INC.
August 19, 2004 - February 7, 2006
NEWBRIDGE SECURITIES CORPORATION
October 2, 2001 - August 16, 2004
CAPITAL GROWTH FINANCIAL, LLC
October 8, 1997 - November 1, 2001
CONTINENTAL BROKER-DEALER CORP.
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
PACIFIC PEARL GROUP
CRD#: 148077 / SEC#: , 8-67968
Contact information
Documents
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.
