Connor Alton Ambrose

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 09/2019 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 08/2014 → 05/2021
  Summit Financial Group Inc
  Boca Raton, FL
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2014-08-15 → 2021-05-20
  Summit Financial Group Inc
  Dallas, TX
  Dallas, TX
• 2010-05-05 → 2014-08-18
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Dallas, TX

Other Businesses

1. AMBROSE CAPITAL MANAGEMENT, LLC; INVESTMENT RELATED; SAME AS BRANCH ADDRESS; DBA ONLY; PRINCIPAL; 08/15/2014; APPX 160 HOURS/MONTH, 160 HOURS/MONTH DURING TRADING; DBA ONLY

Exams

• S66 Uniform Combined State Law Examination
  2010-04-21

Designations

• Certified Financial Planner