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RIA / WealthAdvisorCertified Financial Planner25 years in industry

DOUGLAS JAMES AMBROSE

Advisor at JOURNEY WEALTH MANAGEMENT

CLEVELAND, OH

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Search this name across graphsid dfx:ria:ff66e5b5-0367-145e-dc8a-a8e963f65c2c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Aug 23, 2004 to Sep 14, 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: JOURNEY WEALTH MANAGEMENT
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 22, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Aug 22, 2001
First registration: Aug 23, 2004
Dual registered: no
IAPD individual key: 4068870

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
JOURNEY WEALTH MANAGEMENT	Independent wealth	Jun 16, 2025	n/a	yes	CLEVELAND, OH	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Jan 24, 2025	May 21, 2025	no	WESTLAKE, OH\|ORANGE VILLAGE, OH	Previous registration
OSAIC FA, INC.	Former SEC adviser	Feb 3, 2020	Jan 24, 2025	no	ORANGE VILLAGE, OH\|WESTLAKE, OH	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Apr 25, 2012	Feb 5, 2020	no	BEACHWOOD, OH\|Orange Village, OH	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Apr 25, 2012	Feb 5, 2020	no	Orange Village, OH	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Feb 29, 2012	Apr 24, 2012	no	MENTOR, OH\|MIDDLEBURG HEIGHTS, OH\|BEREA, OH\|BEREA, OH\|CLEVELAND, OH	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Nov 4, 2004	Dec 8, 2011	no	WOODMERE VILLAGE, OH\|COLUMBUS, OH	Previous registration
FIDELITY PERSONAL TRUST COMPANY, FSB	n/a	Aug 23, 2004	Nov 2, 2004	no	COLUMBUS, OH	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
OSAIC WEALTH, INC.	JOURNEY WEALTH MANAGEMENT	May 21, 2025	Jun 16, 2025	26	Firm change	Ibd to RIA
OSAIC FA, INC.	OSAIC WEALTH, INC.	Jan 24, 2025	Jan 24, 2025	0	Bulk transfer	Ibd to ibd
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	OSAIC FA, INC.	Feb 5, 2020	Feb 3, 2020	-2	Firm change	RIA to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Feb 5, 2020	Apr 25, 2012	-2,842	Channel change	Other
PNC WEALTH MANAGEMENT	TD AMERITRADE, INC.	Apr 24, 2012	Apr 25, 2012	1	Firm change	Other
STRATEGIC ADVISERS LLC	PNC WEALTH MANAGEMENT	Dec 8, 2011	Feb 29, 2012	83	Firm change	Other
FIDELITY PERSONAL TRUST COMPANY, FSB	STRATEGIC ADVISERS LLC	Nov 2, 2004	Nov 4, 2004	2	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7870:111514:OH:2020-01-31	Feb 5, 2020	Apr 25, 2012	ORANGE VILLAGE, OH	Firm change after gap

Relationships

Registered with (8)

→ JOURNEY WEALTH MANAGEMENTRegistered adviserregistration: current employment
Jun 16, 2025 to presentfactForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Jan 24, 2025 to May 21, 2025factForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Feb 3, 2020 to Jan 24, 2025factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 25, 2012 to Feb 5, 2020factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Apr 25, 2012 to Feb 5, 2020factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Feb 29, 2012 to Apr 24, 2012factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Nov 4, 2004 to Dec 8, 2011factForm ADV
→ FIDELITY PERSONAL TRUST COMPANY, FSBRegistered adviserregistration: previous registration
Aug 23, 2004 to Nov 2, 2004factForm ADV

Dated events

Occurred
May 21, 2025
Advisor changed firm
Douglas James Ambrose left Osaic Wealth, Inc. for Journey Wealth Management (registered 2025-06-16)
Form ADVobserved 5 days ago