Carlos J. Contreras

Some features on this profile are disabled

CRD#: 2043564

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Carlos Julio Contreras was a registered financial professional .

Carlos is a previously registered financial professional and started their career in finance in 1990. Carlos had worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 11, 2017 - May 29, 2019

FMSA

RIA

CRD#: 154136

Miami, FL

Past

December 1, 2011 - August 12, 2015

FMSA

RIA

CRD#: 154136

LAFAYETTE, LA

Past

March 6, 2007 - August 10, 2007

K.W. BROWN INVESTMENTS

CRD#: 16492

DELRAY BEACH, FL

Past

October 30, 2002 - January 30, 2006

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

February 18, 2000 - October 10, 2002

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

CORAL GABLES, FL

Past

February 18, 2000 - October 10, 2002

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

January 4, 1994 - February 23, 2000

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

September 26, 1991 - October 12, 1993

FAIC SECURITIES, INC.

CRD#: 8323

MIAMI, FL

Past

November 7, 1990 - November 15, 1990

STUART, COLEMAN & CO., INC.

CRD#: 8642

NEW YORK, NY

Past

August 6, 1990 - October 4, 1990

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

April 24, 1990 - October 18, 1990

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FMSA

FINANCIAL MANAGEMENT SERVICES OF AMERICA LLC. | FMSA

CRD#: 154136 / SEC#: 801-71764

RIA

Registered Investment Advisory firm - (8/23/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/24/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/30/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/21/1990

General Securities Representative Examination

Current Firm

FMSA

FINANCIAL MANAGEMENT SERVICES OF AMERICA LLC. | FMSA

CRD#: 154136 / SEC#: 801-71764

RIA

Registered Investment Advisory firm - (8/23/2010 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Delray Beach, FL

Mailing Address

Phone number

(561) 289-2602

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FMSA ADV 2 (3/7/2025)

Regulatory assets under management

Total Number of Accounts	862
AUM (Assets Under Management)	$ 189,133,382

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Carlos J. Contreras

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FMSA

K.W. BROWN INVESTMENTS

JANNEY MONTGOMERY SCOTT LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

CHARLES SCHWAB & CO., INC.

FAIC SECURITIES, INC.

STUART, COLEMAN & CO., INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BLINDER, ROBINSON & CO., INC.

Primary Firm SEC Registration

FMSA

State Registrations and Notice Filings

Exams

Series 65

Date: 4/24/2010

Series 63

Date: 4/30/1990

Series 7

Date: 4/21/1990

Current Firm

FMSA

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FMSA

TRUST BUT VERIFY

Similar Advisors