Austin B. Ambrose
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.
Austin Barnett Ambrose, CFP®, who also goes by Austin B Ambrose, was a registered financial professional .
Austin is a previously registered financial professional and started their career in finance in 2018. Austin had worked at 2 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
November 17, 2022 - April 11, 2023
EC SECURITIES LLC
September 4, 2018 - February 5, 2021
CHARLES SCHWAB & CO., INC.
August 2, 2018 - February 5, 2021
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
EC SECURITIES LLC
CRD#: 287845 / SEC#: , 8-69913
Contact information
FINRA licenses (53 States and Territories)
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.
