Douglas J. Ambrose

JOURNEY WEALTH MANAGEMENT

Cleveland, OH 44122

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CRD#: 4068870

Professional summary

Douglas James Ambrose, CFP® is a registered financial advisor currently at JOURNEY WEALTH MANAGEMENT located in Cleveland, Ohio.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Douglas has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 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.

1.) Douglas Ambrose, 2001 Crocker Rd., Ste. 400, Westlake, OH 44145 Category: Insurance Investment Related: Yes Title: Agent Duties: Offer and service fixed insurance product such as fixed annuities, long-term care, and traditional life insurance. Start Date: 02/03/2020 Hours per Month: 20 Hours per Month during trading hours: 20 Update Form BR: Yes Website Address: N/A

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas James Ambrose'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: 2007

Experience

Current

June 16, 2025 - Present

JOURNEY WEALTH MANAGEMENT

Office #1: 22901 Millcreek Blvd. Suite 225, Cleveland, OH 44122

RIA

CRD#: 298904

Cleveland, OH

Past

January 24, 2025 - May 21, 2025

OSAIC WEALTH, INC.

RIA

CRD#: 23131

ORANGE VILLAGE, OH

Past

January 24, 2025 - May 21, 2025

OSAIC WEALTH, INC.

CRD#: 23131

ORANGE VILLAGE, OH

Past

February 3, 2020 - January 24, 2025

OSAIC FA, INC.

RIA

CRD#: 3978

ORANGE VILLAGE, OH

Past

February 3, 2020 - January 24, 2025

OSAIC FA, INC.

CRD#: 3978

ORANGE VILLAGE, OH

Past

April 25, 2012 - February 5, 2020

TD AMERITRADE, INC.

RIA

CRD#: 7870

Orange Village, OH

Past

April 25, 2012 - February 5, 2020

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Orange Village, OH

Past

April 25, 2012 - February 5, 2020

TD AMERITRADE, INC.

CRD#: 7870

Orange Village, OH

Past

February 29, 2012 - April 24, 2012

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

CLEVELAND, OH

Past

February 28, 2012 - April 24, 2012

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

CLEVELAND, OH

Past

November 4, 2004 - December 8, 2011

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

WOODMERE VILLAGE, OH

Past

August 23, 2004 - November 2, 2004

FIDELITY PERSONAL TRUST COMPANY, FSB

RIA

CRD#: 109516

COLUMBUS, OH

Past

August 9, 2001 - December 6, 2011

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WOODMERE VILLAGE, OH

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".

JOURNEY WEALTH MANAGEMENT

FSM WEALTH | JOURNEY WEALTH MANAGEMENT | JOURNEY WEALTH | JOURNEY | FSM WEALTH ADVISORS, LLC

CRD#: 298904 / SEC#: 801-114180

RIA

Registered Investment Advisory firm - (10/24/2018 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

Ohio
(9/12/2025)

IAR

Texas
(6/16/2025)

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 66

Date: 8/13/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/22/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/8/2001

General Securities Representative Examination

Current Firm

JOURNEY WEALTH MANAGEMENT

FSM WEALTH | JOURNEY WEALTH MANAGEMENT | JOURNEY WEALTH | JOURNEY | FSM WEALTH ADVISORS, LLC

CRD#: 298904 / SEC#: 801-114180

RIA

Registered Investment Advisory firm - (10/24/2018 Approved)

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Contact information

Main Address

22901 Millcreek Blvd. Suite 225, Cleveland, OH 44122

Mailing Address

Phone number

(216) 468-1333

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 03 FSM JOURNEY ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	545
AUM (Assets Under Management)	$ 940,749,181

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/18/2025	Cover Page	Report
10/03/2024	Cover Page	Report
09/21/2023	Cover Page	Report
10/24/2022	Cover Page	Report

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

Douglas J. Ambrose

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas James Ambrose's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

OSAIC FA, INC.

OSAIC FA, INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

STRATEGIC ADVISERS LLC

FIDELITY PERSONAL TRUST COMPANY, FSB

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

JOURNEY WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 8/13/2004

Series 63

Date: 8/22/2001

SIE

Date: 10/1/2018

Series 7

Date: 8/8/2001

Current Firm

JOURNEY WEALTH MANAGEMENT

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

JOURNEY WEALTH MANAGEMENT

TRUST BUT VERIFY

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