Individual Firm
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ROBERT STEPHEN AMBROZY
BOB AMBROZY
CRD#: 1736286
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AMBROZY & ASSOCIATES, INC.CRD#: 129318 CRANFORD, NJ
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4/18/2002
Regulatory
Final
6/26/2001
Regulatory
Final
7/1/1999
Customer Dispute
Pending
3/2/1999
Employment Separation After Allegations
2/26/1999
Customer Dispute
Settled
State Registrations
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New Jersey 11/12/2004
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 05/26/1999 - 03/24/2000 | RAMSEY, NJ | |
B | 01/31/1997 - 03/10/1999 | SCOTTSDALE, AZ | |
B | 02/08/1996 - 01/31/1997 | ATLANTA, GA | |
B | 10/04/1991 - 01/22/1996 | PARSIPPANY, NJ | |
B | 09/12/1990 - 10/11/1991 | NEW YORK, NY | |
B | 10/02/1987 - 09/21/1990 | BOSTON, MA | |
B | 10/02/1987 - 12/31/1989 | BOSTON, MA |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.