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NANCY R AMBROSE
NANCY AMBROSE
CRD#: 5222777
IA
B
WELLS FARGO ADVISORSCRD#: 19616 1000 HART RD STE 105
BARRINGTON, IL 60010
BARRINGTON, IL 60010
View By:
10/22/2015
Criminal
Final Disposition
State Registrations
B
Alabama 11/26/2013
B
Missouri 8/5/2015
B
Alaska 10/22/2024
B
Montana 4/28/2022
B
Arizona 8/7/2015
B
Nebraska 5/6/2019
B
Arkansas 11/26/2013
B
Nevada 2/2/2017
B
California 1/5/2015
B
New Hampshire 8/5/2015
B
Colorado 11/26/2013
B
New Jersey 11/26/2013
B
Connecticut 4/19/2017
B
New Mexico 4/28/2022
B
Delaware 10/12/2018
B
New York 8/5/2015
B
District of Columbia 10/23/2023
B
North Carolina 8/5/2015
B
Florida 11/26/2013
B
Ohio 8/6/2015
B
Georgia 11/26/2013
B
Oklahoma 12/2/2020
B
Hawaii 4/6/2021
B
Oregon 8/5/2015
B
Illinois 8/22/2013
B
Pennsylvania 4/28/2022
IA
Illinois 8/22/2013
B
South Carolina 4/11/2019
B
Indiana 8/5/2015
B
South Dakota 4/15/2019
B
Iowa 4/19/2017
B
Tennessee 11/26/2013
B
Kansas 12/1/2020
B
Texas 11/26/2013
B
Kentucky 11/26/2013
IA
Texas 12/6/2013
B
Louisiana 8/5/2015
B
Utah 1/5/2015
B
Maine 7/18/2017
B
Virginia 4/11/2019
B
Maryland 4/15/2019
B
Washington 8/5/2015
B
Massachusetts 8/5/2015
B
West Virginia 5/1/2017
B
Michigan 11/26/2013
B
Wisconsin 11/26/2013
B
Minnesota 4/28/2017
B
Wyoming 3/17/2016
B
Mississippi 11/26/2013
SRO Registrations
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 8/22/2013
B
Registered with this firm since 8/22/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/13/2013 - 06/26/2013 | NAPLES, FL | |
B | 12/02/2011 - 02/13/2013 | NAPLES, FL | |
B | 06/01/2009 - 12/15/2009 | LAS VEGAS, NV | |
B | 08/18/2008 - 06/01/2009 | LAS VEGAS, NV | |
B | 06/20/2007 - 08/12/2008 | LAS VEGAS, NV |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.