KA
Katherine E. Ambrozy
HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC
Chevy Chase, MD 20815
Some features on this profile are disabled
CRD#: 7730851
KA
Professional summary
Katherine Elizabeth Ambrozy, who also goes by Katie Ambrozy, is a registered financial professional currently at HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC located in Chevy Chase, Maryland.
Katherine is registered as a RR (Registered Representative) and started their career in finance in 2024. Katherine has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Katie Ambrozy
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.
CRS (Client Relationship Summary) - BD
Click below to view Katherine Elizabeth Ambrozy'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
February 29, 2024 - Present
HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC
Office #1: 5425 Wisconsin Ave, Suite 600, Chevy Chase, MD 20815BD
CRD#: 131452
Chevy Chase, MD
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
Alabama(10/17/2024)
RR
Arizona(10/17/2024)
RR
Arkansas(10/17/2024)
RR
California(10/17/2024)
RR
Colorado(10/17/2024)
RR
Connecticut(10/17/2024)
RR
Delaware(10/17/2024)
RR
District of Columbia(10/17/2024)
RR
Florida(10/17/2024)
RR
Georgia(10/17/2024)
RR
Hawaii(10/17/2024)
RR
Illinois(10/17/2024)
RR
Indiana(10/17/2024)
RR
Kansas(10/17/2024)
RR
Kentucky(10/17/2024)
RR
Louisiana(10/17/2024)
RR
Maryland(2/29/2024)
RR
Massachusetts(10/17/2024)
RR
Michigan(10/17/2024)
RR
Minnesota(10/17/2024)
RR
Mississippi(10/17/2024)
RR
Missouri(10/17/2024)
RR
Montana(10/17/2024)
RR
New Hampshire(10/17/2024)
RR
New Jersey(10/17/2024)
RR
New York(10/17/2024)
RR
North Carolina(10/17/2024)
RR
Ohio(10/17/2024)
RR
Oklahoma(10/17/2024)
RR
Oregon(10/17/2024)
RR
Pennsylvania(10/17/2024)
RR
Rhode Island(10/17/2024)
RR
South Carolina(10/17/2024)
RR
Tennessee(10/17/2024)
RR
Texas(10/17/2024)
RR
Virginia(10/17/2024)
RR
Washington(10/17/2024)
RR
Wisconsin(10/17/2024)
RR
Wyoming(10/17/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/29/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HW
HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC
ALPHALINK PARTNERS LLC | HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC | AQUEDUCT CAPITAL GROUP, LLC
CRD#: 131452 / SEC#: , 8-66464
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
2820 Selwyn Avenue, Suite 550, Charlotte, NC 28209
Mailing Address
2820 Selwyn Avenue, Suite 550, Charlotte, NC 28209
Phone number
(704) 973-9919
Established
Delaware since 01/09/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK NATIONAL ASSOCIATION | PARENT | |
| AQUEDUCT CAPITAL HOLDINGS, LLC | SOLE MEMBER | |
| EDWARDS, FRANK HOOKER | CEO/CCO/MEMBER OF AQUEDUCT CAPITAL HOLDINGS, LLC | 2151464 |
| LESSING, STEPHEN MARION JR. | PARTNER | 5306328 |
| LONG, GEORGE PHILLIP MR. | CORPORATE SECRETARY | 5094038 |
| NEUNER, JOHN IV | BOARD MEMBER | 4578584 |
| VALENTINE, EDWARD WEST | BOARD MEMBER | 2399981 |
| WILCOX, BLAKE MILLER | FINOP | 5982383 |
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.
