MA
Michael Ambrose
CETERA INVESTMENT ADVISERS LLC
ATLANTA, GA 30327
Some features on this profile are disabled
CRD#: 7700066
MA
Professional summary
Michael Ambrose, who also goes by Michael J Ambrose, Michael John Ambrose, Mikey J Ambrose, Mikey John Ambrose, Mikey Ambrose, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Atlanta, Georgia and CETERA WEALTH SERVICES, LLC located in Atlanta, Georgia.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Michael has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael J Ambrose | Michael John Ambrose | Mikey J Ambrose | Mikey John Ambrose | Mikey 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.
1) LEGACY CAPITAL ADVISORS POSITION: Client Services Associate NATURE: Legacy Capital Advisors is a wealth management firm that does retirement planning, investment planning, tax planning, and overall management of clients money which depends on the clients investment objectives. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 02/20/2023 ADDRESS: 4401 Northside Pkwy NW, Suite 900, Atlanta GA 30327, United States DESCRIPTION: Currently I am answering phones. Studying for licensing. Helping direct customers when they come into the office on where to go. When I have my licenses I will be investment planning and retirement planning for clients. 2) PROFESSIONAL ATHLETES ADVISORY L.L.C. POSITION: Sole Member NATURE: no activity yet- will be using this entity once active to collect my compensation for my investing work with Legacy Capital Advisors INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/14/2023 ADDRESS: 670 Dekalb Ave SE, Apt.#1307, Atlanta GA 30312, United States DESCRIPTION: No duties at this time, the entity is currently inactive 5) FORO SC POSITION: Head Coach NATURE: I am the head soccer coach of the Semi-Pro soccer team. INVESTMENT RELATED: No NUMBER OF HOURS: 24 SECURITIES TRADING HOURS: 0 START DATE: 08/19/2025 ADDRESS: 14725 Preston Road Dallas, Dallas TX 75240, United States DESCRIPTION: I pick players for the team. I coach the team for games. I also train some of the players in between training sessions.
CRS (Client Relationship Summary) - RIA
Click below to view Michael 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®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4401 Northside Pkwy Nw Ste 900, Atlanta, GA 30327RIA
CRD#: 105644
ATLANTA, GA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4401 Northside Pkwy Nw Suite 900, Atlanta, GA 30327Office #2: 5851 Legacy Circle Suite 600, Plano, TX 75024BD
CRD#: 13572
Atlanta, GA
Past
August 3, 2023 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Atlanta, GA
Past
April 18, 2023 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Atlanta, GA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.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
California(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
IAR
Georgia(9/5/2025)
RR
Maryland(9/5/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/18/2025)
RR
Ohio(9/5/2025)
RR
Rhode Island(9/5/2025)
RR
Tennessee(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Virginia(9/18/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/18/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
