Troy J. Ambler
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.
Troy Jason Ambler, who also goes by Troy Jason Ambler, Troy J Ambler, was a registered financial professional .
Troy is a previously registered financial professional and started their career in finance in 2003. Troy had worked at 8 firms and has passed the Series 66, SIE 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
July 25, 2018 - December 12, 2024
ALLSTATE FINANCIAL SERVICES, LLC
May 11, 2017 - December 31, 2017
THE LEADERS GROUP, INC.
February 17, 2015 - August 18, 2015
THE NEW PENFACS INC.
July 25, 2013 - April 9, 2014
PARK AVENUE SECURITIES LLC
August 24, 2011 - May 17, 2013
SAYBRUS EQUITY SERVICES, LLC
March 28, 2007 - February 25, 2011
LINCOLN FINANCIAL DISTRIBUTORS, INC.
March 28, 2007 - August 12, 2011
LINCOLN FINANCIAL DISTRIBUTORS, INC.
March 7, 2006 - March 15, 2007
EQUITABLE ADVISORS, LLC
March 7, 2006 - March 15, 2007
EQUITABLE ADVISORS, LLC
December 9, 2003 - February 3, 2006
GUNNALLEN FINANCIAL, INC
April 10, 2003 - February 3, 2006
GUNNALLEN FINANCIAL, INC
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
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
