David A. D'ambrosio

KARPUS INVESTMENT MANAGEMENT

Pittsford, NY 14534

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CRD#: 4056925

Professional summary

David Anthony D'ambrosio, CFP® is a registered financial advisor currently at KARPUS INVESTMENT MANAGEMENT located in Pittsford, New York.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. David has worked at 4 firms and has passed the Series 63, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Anthony D'ambrosio's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2020

Experience

Current

April 21, 2021 - Present

KARPUS INVESTMENT MANAGEMENT

Office #1: 183 Sully's Trail, Pittsford, NY 14534

RIA

CRD#: 110275

Pittsford, NY

Past

May 2, 2003 - August 1, 2011

ENSEMBLE FINANCIAL SERVICES, INC.

CRD#: 17443

PITTSFORD, NY

Past

October 17, 2001 - April 7, 2003

M&T SECURITIES, INC.

CRD#: 17358

BALTIMORE, MD

Past

January 26, 2000 - September 7, 2001

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

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".

KARPUS INVESTMENT MANAGEMENT

INVESTMENT ADVISOR | KARPUS MANAGEMENT INC | KARPUS INVESTMENT MANAGEMENT

CRD#: 110275 / SEC#: 801-29607

RIA

Registered Investment Advisory firm - (3/5/1987 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(5/4/2021)

IAR

New York
(4/21/2021)

IAR

Texas
(7/29/2022)

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

Series 63

Date: 3/16/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/25/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 7/11/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/14/2001

General Securities Sales Supervisor - Options Module Examination

Current Firm

KARPUS INVESTMENT MANAGEMENT

INVESTMENT ADVISOR | KARPUS MANAGEMENT INC | KARPUS INVESTMENT MANAGEMENT

CRD#: 110275 / SEC#: 801-29607

RIA

Registered Investment Advisory firm - (3/5/1987 Approved)

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Contact information

Main Address

183 Sully's Trail, Pittsford, NY 14534

Mailing Address

Phone number

(585) 586-4680

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KARPUS INVESTMENT MANAGEMENT (9/26/2025)

Regulatory assets under management

Total Number of Accounts	2,279
AUM (Assets Under Management)	$ 4,010,769,565

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

David A. D'ambrosio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Anthony D'ambrosio's CRS (Customer Relationship Summary).

Certified licenses

Experience

ENSEMBLE FINANCIAL SERVICES, INC.

M&T SECURITIES, INC.

TD AMERITRADE, INC.

Primary Firm SEC Registration

KARPUS INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 3/16/2000

Series 7

Date: 1/25/2000

Series 10

Date: 7/11/2001

Series 9

Date: 3/14/2001

Current Firm

KARPUS INVESTMENT MANAGEMENT

Contact information

SEC notice filing (46 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KARPUS INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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