Thomas K. Ambrose

AMBROSE WEALTH MANAGEMENT

CHADDS FORD, PA

CRD#: 871838

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Professional summary

Thomas Kevin Ambrose, who also goes by Tom Ambrose, is a registered financial advisor currently at AMBROSE WEALTH MANAGEMENT located in Chadds Ford, Pennsylvania and VAN CLEMENS WEALTH MANAGEMENT, LLC located in Chadds Ford, Pennsylvania.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. Thomas has worked at 19 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom 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) - RIA

Click below to view Thomas Kevin Ambrose's CRS (Customer Relationship Summary).

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

August 26, 2015 - Present

AMBROSE WEALTH MANAGEMENT

RIA

CRD#: 269838

CHADDS FORD, PA

Current

June 17, 2026 - Present

VAN CLEMENS WEALTH MANAGEMENT, LLC

RIA

CRD#: 297362

Chadds Ford, PA

Past

July 2, 2014 - May 22, 2015

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

WEST CHESTER, PA

Past

July 2, 2014 - May 22, 2015

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

WEST CHESTER, PA

Past

November 7, 2012 - June 6, 2014

PROSPERA FINANCIAL SERVICES, INC.

RIA

CRD#: 10740

WESTCHESTER, PA

Past

November 7, 2012 - June 6, 2014

PROSPERA FINANCIAL SERVICES, INC.

CRD#: 10740

WESTCHESTER, PA

Past

May 14, 2010 - November 8, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

WILMINGTON, DE

Past

May 14, 2010 - November 8, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

WILMINGTON, DE

Past

January 30, 2006 - May 14, 2010

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

CHADDS FORD, PA

Past

November 17, 2003 - January 16, 2007

BRANDYWINE FINANCIAL GROUP, INC.

RIA

CRD#: 127344

CHADDS FORD, PA

Past

January 31, 1997 - January 31, 2006

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

July 1, 1996 - January 31, 1997

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

ATLANTA, GA

Past

March 21, 1996 - December 31, 2010

AMBROSE WEALTH MANAGEMENT

RIA

CRD#: 108395

CHADDS FORD, PA

Past

November 4, 1989 - July 2, 1996

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

September 1, 1989 - October 30, 1989

UMS INVESTMENTS, INC.

CRD#: 15749

Past

June 16, 1988 - August 24, 1989

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

February 2, 1988 - June 18, 1988

BAILEY, MARTIN & APPEL, INC.

CRD#: 15833

Past

June 25, 1987 - July 17, 1987

MONARCH INVESTMENTS INC.

CRD#: 18208

Past

October 29, 1985 - July 6, 1987

EXETER SECURITIES CORPORATION

CRD#: 16543

Past

May 17, 1985 - April 10, 1986

PENN AMERICAN SECURITIES CORPORATION

CRD#: 14331

Past

September 26, 1979 - October 24, 1985

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

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".

VAN CLEMENS WEALTH MANAGEMENT, LLC

CRD#: 297362 / SEC#: 801-129906

RIA

Registered Investment Advisory firm - (4/12/2024 Approved)

California

Registered Investment Advisory firm - (5/15/2024 Terminated)

Indiana

Registered Investment Advisory firm - (4/15/2024 Terminated)

Iowa

Registered Investment Advisory firm - (4/15/2024 Terminated)

Minnesota

Registered Investment Advisory firm - (4/15/2024 Terminated)

North Dakota

Registered Investment Advisory firm - (4/15/2024 Terminated)

South Dakota

Registered Investment Advisory firm - (4/15/2024 Terminated)

Washington

Registered Investment Advisory firm - (5/15/2024 Terminated)

Wisconsin

Registered Investment Advisory firm - (4/15/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(8/26/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/11/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/10/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/22/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 9/17/1979

Registered Representative Examination

Current Firm

VAN CLEMENS WEALTH MANAGEMENT, LLC

CRD#: 297362 / SEC#: 801-129906

RIA

Registered Investment Advisory firm - (4/12/2024 Approved)

California

Registered Investment Advisory firm - (5/15/2024 Terminated)

Indiana

Registered Investment Advisory firm - (4/15/2024 Terminated)

Iowa

Registered Investment Advisory firm - (4/15/2024 Terminated)

Minnesota

Registered Investment Advisory firm - (4/15/2024 Terminated)

North Dakota

Registered Investment Advisory firm - (4/15/2024 Terminated)

South Dakota

Registered Investment Advisory firm - (4/15/2024 Terminated)

Washington

Registered Investment Advisory firm - (5/15/2024 Terminated)

Wisconsin

Registered Investment Advisory firm - (4/15/2024 Terminated)

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Contact information

Main Address

900 2nd Avenue South Suite 1500, Minneapolis, MN 55402

Mailing Address

Phone number

(612) 758-9140

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VAN CLEMENS WEALTH MANAGEMENT, LLC DISCLOSURE BROCHURE (9/2/2025)

Regulatory assets under management

Total Number of Accounts	551
AUM (Assets Under Management)	$ 327,243,548

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.

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Advisor Monitoring

Firm Stability Insights

Thomas K. Ambrose

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Kevin Ambrose's CRS (Customer Relationship Summary).

Certified licenses

Experience

VAN CLEMENS WEALTH MANAGEMENT, LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

PROSPERA FINANCIAL SERVICES, INC.

PROSPERA FINANCIAL SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

GROVE POINT INVESTMENTS, LLC

BRANDYWINE FINANCIAL GROUP, INC.

OSAIC WEALTH, INC.

KEOGLER, MORGAN & COMPANY, INC.

AMBROSE WEALTH MANAGEMENT

LPL FINANCIAL LLC

UMS INVESTMENTS, INC.

FSC SECURITIES CORPORATION

BAILEY, MARTIN & APPEL, INC.

MONARCH INVESTMENTS INC.

EXETER SECURITIES CORPORATION

PENN AMERICAN SECURITIES CORPORATION

JOHN HANCOCK DISTRIBUTORS LLC

Primary Firm SEC Registration

VAN CLEMENS WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/11/1994

Series 63

Date: 10/10/1984

SIE

Date: 5/22/2015

Series 1

Date: 9/17/1979

Current Firm

VAN CLEMENS WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VAN CLEMENS WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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