Ambria M. Slobozien
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.
Ambria Mckenzie Slobozien, who also goes by Ambria Mckenzie Smith, Ambria Smith, was a registered financial professional .
Ambria is a previously registered financial professional and started their career in finance in 2016. Ambria had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, Series 50, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2021 - May 17, 2021
PTMA INVESTMENT ADVISORS
February 2, 2021 - May 17, 2021
PMA SECURITIES, LLC
June 29, 2018 - January 29, 2021
RBC CAPITAL MARKETS, LLC
May 10, 2018 - January 29, 2021
RBC CAPITAL MARKETS, LLC
November 18, 2016 - May 9, 2018
PFM FUND DISTRIBUTORS, INC.
Primary Firm SEC Registration
PTMA INVESTMENT ADVISORS
CRD#: 301973 / SEC#: 801-115313
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
Series 7TO
Date: 1/1/2023
General Securities Representative ExaminationSeries 6TO
Date: 1/1/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
PTMA INVESTMENT ADVISORS
CRD#: 301973 / SEC#: 801-115313
Contact information
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 504 |
| AUM (Assets Under Management) | $ 27,791,353,702 |
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.
