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Detailed Report
RODNEY OWEN AMBROSE
ROD AMBROSE, RODNEY OWN AMBROSE
CRD#: 1701110
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 15021 Katy Freeway
Suite 650
Houston, TX 77094
Registration History
199019952000200520102015202020252 FIRMS1993 - 2009 (15 years)2 FIRMS2009 - Present (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (5 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1987 - 1988 (<1 year)
License(s)

State Registrations

B
Alabama 7/7/2021
B
Nebraska 1/3/2025
B
Arizona 6/1/2009
B
New Mexico 6/1/2009
B
Arkansas 1/10/2025
B
New York 6/1/2009
B
California 6/1/2009
B
Ohio 9/15/2023
B
Colorado 6/1/2009
B
Oklahoma 6/1/2009
B
District of Columbia 8/21/2018
B
Oregon 4/13/2018
B
Florida 6/1/2009
B
Pennsylvania 8/6/2020
B
Georgia 4/29/2010
B
South Carolina 6/14/2011
B
Illinois 6/1/2009
B
Tennessee 6/7/2021
B
Indiana 6/1/2009
B
Texas 6/1/2009
B
Iowa 6/1/2009
IA
Texas 6/1/2009
B
Kansas 6/1/2009
B
Utah 7/7/2009
B
Louisiana 6/1/2009
B
Virginia 11/24/2014
B
Maryland 4/29/2010
B
Washington 6/1/2009
B
Massachusetts 3/25/2011
B
Wisconsin 4/29/2010
B
Michigan 11/21/2018
B
Wyoming 6/16/2016
B
Mississippi 6/27/2019

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
15021 Katy Freeway Suite 650, Houston, TX 77094
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
15021 Katy Freeway Suite 650, Houston, TX 77094
Registered with this firm since 6/1/2009
Previous Registration(s)
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IA
 07/31/1993 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) HOUSTON, TX
B
 07/31/1993 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) HOUSTON, TX
B
 04/11/1988 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 07/22/1987 - 04/11/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.