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Detailed Report
ANSELMO CONTRERAS JR.
ANSELMO CONTRERAS, JR.
CRD#: 4095453
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
200220042006200820102012201420162018202020222024IAIFS ADVISORY, LLC (CRD# 154680)2018 - 2019 (1 year)IACAMBRIDGE INVESTMENT RESEARCH ... (CRD# 134139)2013 - 2018 (4 years)IAIFS ADVISORY, LLC (CRD# 154680)2018 - 2018 (<1 year)IACOMMONWEALTH FINANCIAL NETWORK (CRD# 8032)2009 - 2013 (4 years)IALPL FINANCIAL CORPORATION (CRD# 6413)2002 - 2009 (6 years)IAINTEGRITY FINANCIAL PLANNERS (CRD# 119264)2003 - 2004 (1 year)
Disclosure(s)
View By:
3/26/2024
Customer Dispute
Settled
4/30/2019
Regulatory
Final
1/16/2018
Employment Separation After Allegations
Previous Registration(s)
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 03/29/2018 - 05/08/2019 IFS ADVISORY, LLC (CRD#:154680) Angleton, TX
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 09/30/2013 - 01/30/2018 CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139) ANGLETON, TX
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 01/16/2018 - 01/16/2018 IFS ADVISORY, LLC (CRD#:154680) Angleton, TX
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 02/17/2009 - 10/23/2013 COMMONWEALTH FINANCIAL NETWORK (CRD#:8032) ANGLETON, TX
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 06/26/2002 - 02/23/2009 LPL FINANCIAL CORPORATION (CRD#:6413) ANGLETON, TX
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 04/24/2003 - 12/31/2004 INTEGRITY FINANCIAL PLANNERS (CRD#:119264) LAKE JACKSON, TX
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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.
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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.