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RIA / WealthAdvisor41 years in industry

THOMAS KEVIN AMBROSE

Advisor at AMBROSE WEALTH MANAGEMENT

MINNEAPOLIS, MN | Chadds Ford, PA | CHADDS FORD, PA

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Search this name across graphsid dfx:ria:a7ee7150-e74f-99a7-0a40-77d4f7aa859a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 21, 1996 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: AMBROSE WEALTH MANAGEMENT
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 10, 1984earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 2
Registered states: 1
Exams: S65|S63
First exam: Oct 10, 1984
First registration: Mar 21, 1996
Dual registered: no
Other names: TOM AMBROSE
IAPD individual key: 871838

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
VAN CLEMENS WEALTH MANAGEMENT, LLC	Independent wealth	Jun 22, 2026	n/a	yes	Chadds Ford, PA\|MINNEAPOLIS, MN	Current employment
AMBROSE WEALTH MANAGEMENT	State registered	Aug 26, 2015	n/a	yes	CHADDS FORD, PA	Current employment
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Jul 2, 2014	May 22, 2015	no	WEST CHESTER, PA	Previous registration
PROSPERA FINANCIAL SERVICES, INC.	Bd affiliated wealth	Nov 7, 2012	Jun 6, 2014	no	DALLAS, TX\|WESTCHESTER, PA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	May 14, 2010	Nov 8, 2012	no	WILMINGTON, DE	Previous registration
CAROTA WEALTH MANAGEMENT	Independent wealth	Nov 17, 2003	Jan 16, 2007	no	CHADDS FORD, PA	Previous registration
AMBROSE WEALTH MANAGEMENT	n/a	Mar 21, 1996	Dec 31, 2010	no	CHADDS FORD, PA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	AMBROSE WEALTH MANAGEMENT	May 22, 2015	Aug 26, 2015	96	Firm change	Other
PROSPERA FINANCIAL SERVICES, INC.	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Jun 6, 2014	Jul 2, 2014	26	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	PROSPERA FINANCIAL SERVICES, INC.	Nov 8, 2012	Nov 7, 2012	-1	Firm change	Other
AMBROSE WEALTH MANAGEMENT	CAROTA WEALTH MANAGEMENT	Dec 31, 2010	Nov 17, 2003	-2,601	Firm change after gap	Other
CAROTA WEALTH MANAGEMENT	AMERIPRISE FINANCIAL SERVICES, LLC	Jan 16, 2007	May 14, 2010	1,214	Firm change after gap	Other

Relationships

Registered with (7)

→ VAN CLEMENS WEALTH MANAGEMENT, LLCRegistered adviserregistration: current employment
Jun 22, 2026 to presentfactForm ADV
→ AMBROSE WEALTH MANAGEMENTRegistered adviserregistration: current employment
Aug 26, 2015 to presentfactForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Jul 2, 2014 to May 22, 2015factForm ADV
→ PROSPERA FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Nov 7, 2012 to Jun 6, 2014factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
May 14, 2010 to Nov 8, 2012factForm ADV
→ AMBROSE WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Mar 21, 1996 to Dec 31, 2010factForm ADV
→ CAROTA WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Nov 17, 2003 to Jan 16, 2007factForm ADV

Dated events

No dated event names this entity yet.