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DA

David C. Ambrose

PERELLA WEINBERG PARTNERS LP
New York, NY 10153
Some features on this profile are disabled
CRD#: 5803822
DA

Professional summary

David Clint Ambrose, who also goes by David Clint Ambrose, David Clint Ambrose, is a registered financial professional currently at PERELLA WEINBERG PARTNERS LP located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 2015. David has worked at 4 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Clint Ambrose | David Clint Ambrose

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) - BD

Click below to view David Clint Ambrose's 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®
None

Experience

Current

December 6, 2021 - Present

PERELLA WEINBERG PARTNERS LP

Office #1: 767 Fifth Avenue, New York, NY 10153
BD
CRD#: 138618
New York, NY
Past

April 26, 2018 - December 10, 2021

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
NEW YORK, NY
Past

August 29, 2016 - April 25, 2018

ROTHSCHILD & CO US INC.

BD
CRD#: 2910
Chicgo, IL
Past

April 8, 2015 - August 22, 2016

MESIROW FINANCIAL, INC.

BD
CRD#: 2764
CHICAGO, IL

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(12/6/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 4/17/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 4/8/2015
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PW
PERELLA WEINBERG PARTNERS LP
PADCO ADVISORS L.P. | TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC | TUDOR, PICKERING, HOLT & CO. | TUDOR PICKERING HOLT & CO ADVISORS LP | TPH&CO. THE ENERGY BUSINESS OF PERELLA WEINBERG | TPH&CO. - THE ENERGY BUSINESS OF PERELLA WEINBERG PARTNERS | TPH&CO. | TPH & CO. - THE ENERGY BUSINESS OF PERELLA WEINBERG PARTNERS | TPH & CO. | PWP SECURITIES | PERELLA WEINBERG PARTNERS LP | PERELLA WEINBERG | PADCO ADVISORS LLC

CRD#: 138618 / SEC#: , 8-67167

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
767 Fifth Avenue, New York, NY 10153
Mailing Address
767 Fifth Avenue, New York, NY 10153
Phone number
(212) 287-3200
Established
Delaware since 10/11/2005
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PERELLA WEINBERG PARTNERS GROUP LPLIMITED PARTNER
BEDNAR, ANDREW THOMASPARTNER AND CHIEF EXECUTIVE OFFICER1856221
D'ANNA, JOHN R. JR.PARTNER, HEAD OF SALES5387688
GOTTSCHALK, ALEXANDRA KATHLEENPARTNER, CHIEF FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER5864478
KAMEN, JUSTIN BARTHOLOMEWCHIEF LEGAL OFFICER AND CORPORATE SECRETARY7047700
MICHAEL, STEPHEN CHADWICKPRESIDENT OF TPH&CO.4430416
NORDEN, VIVIANA CARMONAFINANCIAL OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER4886485
PADCO GP LLCGENERAL PARTNER
RAMANAND, ROSEANNE NANDANICHIEF COMPLIANCE OFFICER AND AML OFFICER5063023
WEINBERG, PETER AMORYCHAIRMAN AND CO-FOUNDER2100495

Disclosures

Regulatory Event2

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.

Company Information

PERELLA WEINBERG PARTNERS LP

CRD#: 138618New York, NY 10153

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