Ambrose Kai Chung Chan

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/1993 → Present
  Ac Financial Advisory Group, Llc
  Danbury, CT
• 08/2014 → Present
  Cambridge Investment Research, Inc
  Fairfield, IA
• 08/2014 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2003-04-21 → 2014-08-19
  Saxony Capital Management, Llc
  Danbury, CT
  Danbury, CT
  Danbury, CT
  Saint Louis, MO
  Danbury, CT
  Danbury, CT
• 2009-07-02 → 2014-02-11
  Ac Financial Advisory Group, Llc
  Danbury, CT
• 1995-03-03 → 2002-12-31
  Osaic Wealth, Inc.
  Danbury, CT

Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO - 40 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE. 2) AC FINANCIAL ADVISORY GROUPP, 2125 Center Avenue, Suite 203, Fort Lee NJ 07024, United States, 01/1993, Agent, Insurance/Benefits/Human Resources, IR, 5 HR/MO - 0 HR/MO TRADING

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-09-20
• S63 Uniform Securities Agent State Law Examination
  1993-06-07

Designations

• Certified Financial Planner