Ambrose S. Aston

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CRD#: 3022690

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.

Ambrose S Aston, who also goes by Ambrose S. Aston, Ambrose Aston, was a registered financial professional .

Ambrose is a previously registered financial professional and started their career in finance in 1998. Ambrose had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ambrose S. Aston | Ambrose Aston

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)

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

June 12, 2019 - January 2, 2025

CRESCENT SECURITIES GROUP, INC.

CRD#: 114993

PLANO, TX

Past

November 13, 2017 - May 22, 2019

BLUEROCK CAPITAL MARKETS LLC

CRD#: 136974

NEW YORK, NY

Past

January 9, 2012 - October 17, 2017

GRIFFIN CAPITAL SECURITIES, LLC

CRD#: 37739

IRVINE, CA

Past

February 1, 2011 - January 6, 2012

GRUBB & ELLIS CAPITAL CORPORATION

CRD#: 151226

SANTA ANA, CA

Past

October 22, 2010 - August 9, 2011

GRUBB & ELLIS SECURITIES, INC.

CRD#: 17932

SANTA ANA, CA

Past

July 10, 2009 - October 26, 2010

AMERICAN BEACON PARTNERS, INC.

CRD#: 15791

EAU CLAIRE, WI

Past

December 24, 2008 - May 21, 2009

KCD FINANCIAL, INC.

CRD#: 127473

HOUSTON, TX

Past

June 20, 2008 - September 26, 2008

DBSI SECURITIES CORPORATION

CRD#: 11687

BOISE, ID

Past

May 11, 2000 - December 14, 2007

WELLS INVESTMENT SECURITIES,INC.

CRD#: 15252

NORCROSS, GA

Past

April 16, 1998 - January 7, 1999

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/22/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/12/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/22/1998

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/13/1998

General Securities Representative Examination

Current Firm

CRESCENT SECURITIES GROUP, INC.

CRD#: 114993 / SEC#: , 8-53457

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

4975 Preston Park Blvd. Suite 820, Plano, TX 75093

Mailing Address

4975 Preston Park Blvd. Suite 820, Plano, TX 75093

Phone number

(972) 490-0150

Established

Texas since 04/10/2001

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
D2 EQUITY HOLDINGS, INC.	SHAREHOLDER
DUREN, TRAVIS NICK	DIRECTOR/PRESIDENT/SECRETARY/CCO	1589445
STERLING, DONALD WILLIAM	FINOP
TRAVIS, RUSSELL WARREN	VICE PRESIDENT	2759751

Disclosures

Regulatory Event

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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Firm Stability Insights

Ambrose S. Aston

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BLUEROCK CAPITAL MARKETS LLC

GRIFFIN CAPITAL SECURITIES, LLC

GRUBB & ELLIS CAPITAL CORPORATION

GRUBB & ELLIS SECURITIES, INC.

AMERICAN BEACON PARTNERS, INC.

KCD FINANCIAL, INC.

DBSI SECURITIES CORPORATION

WELLS INVESTMENT SECURITIES,INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/22/1998

Series 63

Date: 5/12/1998

SIE

Date: 10/1/2018

Series 31

Date: 6/22/1998

Series 7

Date: 4/13/1998

Current Firm

CRESCENT SECURITIES GROUP, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CRESCENT SECURITIES GROUP, INC.

TRUST BUT VERIFY

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