Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ambrose? Claim Your ProfileAmbrose Kai chung Chan is a financial advisor with Cambridge Investment Research Advisors, Inc., a Registered Investment Advisor (RIA). Ambrose has been in the financial services industry since 1993. Ambrose is registered to provide investment advice in multiple states, including California, Colorado, Connecticut, Florida, Georgia, Maryland, Massachusetts, Michigan, Nevada, New Jersey, New York, North Carolina, Ohio and Virginia. Ambrose holds the following licenses and certifications: Series 7, Series 24, Series 30, Series 63, Series 65, and the SIE. Ambrose is also a Certified Financial Planner.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Solicitation fees from 3rd party money managers
1
2
NJ
08/30/2016 - Present
Cambridge Investment Research Advisors, Inc. (Fort Lee NJ)
CT
01/02/2003 - 08/18/2014
SAXONY SECURITIES, INC. (DANBURY CT)
AZ
07/18/1994 - 12/31/2002
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
GA
06/07/1993 - 06/15/1994
FSC SECURITIES CORPORATION (ATLANTA GA)
IA
Issued 09/20/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/07/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/11/2012
Series 30 - NFA Branch Manager Examination
BC
Issued 10/24/1994
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/04/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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