Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
David Alan Ambre
DAVID A AMBRE, DAVID AMBRE
CRD#: 1988012
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 3540 SEVEN BRIDGES DRIVE
SUITE 120
WOODRIDGE, IL 60517
Registration History
19952000200520102015202020252 FIRMS2009 - Present (16 years)BBREWER FINANCIAL SERVICES, LLC (CRD# 132558)2006 - 2006 (<1 year)BPEREGRINE FINANCIALS & SECURIT... (CRD# 43992)1999 - 2003 (4 years)
Disclosure(s)
View By:
10/19/1994
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
Alabama 4/17/2017
B
Michigan 8/17/2015
B
Arizona 2/19/2009
B
Minnesota 4/13/2012
B
Arkansas 7/12/2018
B
Montana 6/20/2019
B
California 10/23/2009
B
New Jersey 1/21/2015
B
Florida 8/14/2009
B
North Carolina 10/3/2017
B
Georgia 2/9/2009
B
Ohio 5/8/2015
B
Idaho 11/5/2024
B
Oregon 8/11/2009
B
Illinois 1/20/2009
B
Texas 6/9/2020
IA
Illinois 1/20/2009
IA
Texas 6/10/2020
B
Indiana 8/11/2009
B
Virginia 6/14/2023
B
Kansas 8/10/2009
B
Wisconsin 1/11/2016

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
EDWARD JONES (CRD#:250)
3540 SEVEN BRIDGES DRIVE SUITE 120, WOODRIDGE, IL 60517
Registered with this firm since 1/20/2009
B
EDWARD JONES (CRD#:250)
3540 SEVEN BRIDGES DRIVE SUITE 120, WOODRIDGE, IL 60517
Registered with this firm since 1/19/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 06/07/2006 - 12/05/2006 BREWER FINANCIAL SERVICES, LLC (CRD#:132558)
FINRA expelled the firm on 03/25/2011
CHICAGO, IL
B
 05/26/1999 - 12/31/2003 PEREGRINE FINANCIALS & SECURITIES, INC. (CRD#:43992) CHICAGO, IL
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.