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Detailed Report
SERGIO GONZALEZ ALCAZAR
SERGIO ALCAZAR, SERGIO GONZALEZALCAZAR
CRD#: 2588983
IA
Investment Adviser
B
Broker
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.CRD#: 134139 Highlands Ranch, CO
CAMBRIDGE INVESTMENT RESEARCH, INC.CRD#: 39543 HIGHLAND RANCH, CO
Registration History
1995200020052010201520202025IACAMBRIDGE INVESTMENT RESEARCH ... (CRD# 134139)2023 - Present (1 year)BCAMBRIDGE INVESTMENT RESEARCH,... (CRD# 39543)2013 - Present (11 years)BWOODBURY FINANCIAL SERVICES, INC. (CRD# 421)2007 - 2013 (6 years)BWACHOVIA SECURITIES FINANCIAL ... (CRD# 11025)2001 - 2007 (6 years)BJWGENESIS FINANCIAL GROUP, INC (CRD# 38166)1999 - 2001 (2 years)BCHATFIELD DEAN & CO., INC. (CRD# 14714)1995 - 1999 (3 years)
License(s)

State Registrations

B
Colorado 11/14/2013
B
Nebraska 2/10/2025
IA
Colorado 7/5/2023
B
New York 2/3/2016
B
Florida 11/14/2013
B
North Carolina 11/14/2013
B
Idaho 11/14/2013
B
Texas 11/14/2013
B
Kansas 11/14/2013
IA
Texas 7/5/2023
B
Maryland 11/14/2013
B
Wisconsin 8/24/2015
B
Missouri 1/20/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139)
Highlands Ranch, CO
Registered with this firm since 7/5/2023
B
CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543)
HIGHLAND RANCH, CO
Registered with this firm since 11/14/2013
Previous Registration(s)
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B
 03/01/2007 - 11/04/2013 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) GREENWOOD VILLAGE, CO
B
 01/02/2001 - 03/01/2007 WACHOVIA SECURITIES FINANCIAL NETWORK, LLC (CRD#:11025) DENVER, CO
B
 01/04/1999 - 01/02/2001 JWGENESIS FINANCIAL GROUP, INC (CRD#:38166) BOCA RATON, FL
B
 03/29/1995 - 01/04/1999 CHATFIELD DEAN & CO., INC. (CRD#:14714) GREENWOOD VILLAGE, CO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.