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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

JULIAN Mauro D AMBROSI

Advisor at ADVICE AND PLANNING SERVICES

Brooklyn, NY | NEW YORK, NY

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Nov 28, 2005 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: ADVICE AND PLANNING SERVICES
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 15, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65|S66
First exam: Dec 15, 2003
First registration: Nov 28, 2005
Dual registered: yes, broker-dealer
Other names: JULIAN M D'AMBROSI|JULIAN D AMBROSI|JULIAN MAURO D AMBROSI
IAPD individual key: 4729324

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
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Jan 9, 2026	n/a	yes	Brooklyn, NY\|NEW YORK, NY	Current employment
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Nov 19, 2020	Dec 16, 2025	no	NEW YORK, NY\|NEW YORK, NY\|New York, NY\|New York, NY\|Jersey City, NJ\|Summit, NJ\|Summit, NJ	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Jul 14, 2014	no	NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Nov 28, 2005	Oct 1, 2012	no	NEW YORK, NY\|NEW YORK, NY\|NEW YORK CITY, NY\|NEW YORK, NY\|NEW YORK, NY\|HOUSTON, TX\|NEW YORK, NY\|NEW YORK, NY\|TUCSON, AZ	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
CITIGROUP GLOBAL MARKETS INC.	ADVICE AND PLANNING SERVICES	Dec 16, 2025	Jan 9, 2026	24	Firm change	Ibd to ibd
J.P. MORGAN SECURITIES LLC	CITIGROUP GLOBAL MARKETS INC.	Jul 14, 2014	Nov 19, 2020	2,320	Firm change after gap	Wirehouse to ibd
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other

Relationships

Registered with (4)

→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: current employment
Jan 9, 2026 to presentfactForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Nov 19, 2020 to Dec 16, 2025factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Jul 14, 2014factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Nov 28, 2005 to Oct 1, 2012factForm ADV

Dated events

Occurred
Dec 16, 2025
Advisor changed firm
Julian Mauro D Ambrosi left Citigroup Global Markets Inc. for Advice And Planning Services (registered 2026-01-09)
Form ADVobserved 6 days ago