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Thomas Ambrose

Ambrose Wealth Management
45 Years of Experience
Chadds Ford, PA
3 DisclosuresSells Insurance
View SEC Summary
View SEC Summary

Thomas Ambrose is a registered investment advisor at Ambrose Wealth Management, based in Chadds Ford, PA, with 45 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include High Net Worth, Retirement Planning. Their firm serves 13 clients with $2.2M in assets under management.

Ambrose Wealth Management
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1 advisor
Number of Clients
13 clients
Average Client Portfolio
$169K average
Assets Under Management
$2.2M

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.95%

Fees are negotiable and range from 0.25% to 1.95%. The total client fees will not exceed 3% of assets under management when a third party investment advisor is used.

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

Location

Chadds Ford, PA

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History

Regulatory History (3)
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
January 2017
Final
Regulatory
July 2016
Final
Employment Separation After Allegations
April 2015
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Thomas is an independent insurance agent/broker for various independent insurance companies. He also provides business consulting and development services.

Employment History
Current Registrations
Ambrose Wealth Management
August 2015 - Present · 10 yrs 9 mos
Previous Registrations
Cambridge Investment Research, INC.Broker
July 2014 - May 2015 · 10 mos
Cambridge Investment Research Advisors, INC.
July 2014 - May 2015 · 10 mos
Prospera Financial Services, INC.Broker
November 2012 - June 2014 · 1 yr 7 mos
Prospera Financial Services, INC.
November 2012 - June 2014 · 1 yr 7 mos
Ameriprise Financial Services, INC.Broker
May 2010 - November 2012 · 2 yrs 6 mos
Ameriprise Financial Services, INC.
May 2010 - November 2012 · 2 yrs 6 mos
H. Beck, INC.Broker
January 2006 - May 2010 · 4 yrs 4 mos
Brandywine Financial Group, INC.
November 2003 - January 2007 · 3 yrs 2 mos
Royal Alliance Associates, INC.Broker
January 1997 - January 2006 · 9 yrs
Keogler, Morgan & Company, INC.Broker
July 1996 - January 1997 · 6 mos
Ambrose Wealth Management
March 1996 - December 2010 · 14 yrs 9 mos
Linsco/private Ledger CORP.Broker
November 1989 - July 1996 · 6 yrs 8 mos
Ums Investments, INC.Broker
September 1989 - October 1989 · 1 mo
Fsc Securities CorporationBroker
June 1988 - August 1989 · 1 yr 2 mos
Bailey, Martin & Appel, INC.Broker
February 1988 - June 1988 · 4 mos
Monarch Investments INC.Broker
June 1987 - July 1987 · 1 mo
Exeter Securities CorporationBroker
October 1985 - July 1987 · 1 yr 9 mos
Penn American Securities CorporationBroker
May 1985 - April 1986 · 11 mos
Manequity, INC.Broker
September 1979 - October 1985 · 6 yrs 1 mo
State Registrations1 state
PA
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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