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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peter? Claim Your ProfilePeter Ambrose is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Peter has been in the industry since 1987 and has been with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2004. Peter is registered with the state of Virginia and the Financial Industry Regulatory Authority (FINRA) as a broker and investment advisor representative. Peter holds a Series 3, 7, 9, 10, 63, and 65 license and is also a FINRA Arbitrator.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
VA
02/18/2010 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (VIENNA VA)
NJ
01/30/1998 - 03/10/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
09/06/1988 - 01/28/1998
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
04/30/1987 - 04/13/1989
EMPIRE NATIONAL SECURITIES, INCORPORATED
NA
02/24/1987 - 05/01/1987
SHERWOOD CAPITAL, INC.
IA
Issued 07/08/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/27/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/27/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/1993
Series 3 - National Commodity Futures Examination
BC
Issued 02/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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