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CFP
RA
CFP

Robert Ambrozy

Ambrozy & Associates, INC.
34 Years of Experience
Cranford, NJ
5 DisclosuresMay Earn Commission
View SEC Summary
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Robert Ambrozy is a CFP-designated registered investment advisor at Ambrozy & Associates, INC., based in Cranford, NJ, with 34 years of industry experience. Their practice areas include Annuities, Business Owners, Corporate Executives, Education Planning, and 6 more.

Ambrozy & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1 advisor
Number of Clients
Not specified
Average Client Portfolio
Not specified
Assets Under Management
$1.6M

Fee Structure

Minimum Investment:$150K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.50%
$1.0M - $3.0M1.00%
$3.0M - $5.0M0.85%
$5.0M - $10.0M0.75%
$10.0M - $20.0M0.70%
$20M+0.65%

Certain clients with pre-existing relationships or employee-related accounts may be charged lower or higher fees based on portfolio size, length of employment, and relationship to the employee.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Cranford, NJ

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History

Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
April 2002
Final
Regulatory
June 2001
Final
Customer Dispute
July 1999
Pending
Employment Separation After Allegations
March 1999
Customer Dispute
February 1999
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Robert works as a regional sales manager for Alphastaff, a non-investment related HRO company. This activity takes nearly full-time hours.

Employment History
Current Registrations
Ambrozy & Associates, INC.
November 2004 - Present · 21 yrs 11 mos
Previous Registrations
The Key Group INC.Broker
May 1999 - March 2000 · 10 mos
Royal Alliance Associates, INC.Broker
January 1997 - March 1999 · 2 yrs 2 mos
Keogler, Morgan & Company, INC.Broker
February 1996 - January 1997 · 11 mos
Summit Equities, INC.Broker
October 1991 - January 1996 · 4 yrs 3 mos
Guardian Investor Services CorporationBroker
September 1990 - October 1991 · 1 yr 1 mo
John Hancock Mutual Life Insurance CompanyBroker
October 1987 - September 1990 · 2 yrs 11 mos
John Hancock Distributors, INC.Broker
October 1987 - December 1989 · 2 yrs 2 mos
State Registrations1 state
NJ
Advisor

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Exams
No exam information available for this advisor.
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