Anneliese J. D'souza
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Frederick, MD
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CRD#: 2557137
Professional summary
Anneliese Jisela D'souza, CFP®, who also goes by Anna Dsouza, Anneliese Jisela Dsouza, Anneliese Dsouza, Anna Mascarenhas, Anneliese Mascarenhas, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Frederick, Maryland and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Frederick, Maryland.
Anneliese is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Anneliese has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anna Dsouza | Anneliese Jisela Dsouza | Anneliese Dsouza | Anna Mascarenhas | Anneliese Mascarenhas
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.
1) SAINT KATHERINE DREXEL CHURCH, 8248 OPOSSUMTOWN PIKE, VOLUNTEER, 05/2009, NIR, 2 HR/MO 0 HR/MO TRADING 2) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, AS ADVISORY REP OF A RIA. INV REL, 50/WK 32/TRADING, 08/2006 3) CRUMP LIFE INSURANCE SERVICES, 4250 CRUMS MILL RD HARRISBURG PA, 11/2010, INDEPENDENT INSURANCE AGENT FOR INDEPENDENT INSURANCE COMPANIES. INV REL, 4 HR/MO 4 HR/MOTRADING 4) ASH BROKERAGE, INSURANCE AGENT, PO BOX 2572 FORT WAYNE, IN, 11/28/2006, INV REL, 1 HR/MO 1/TRADING HR 5) D'SOUZA FINANCIAL STRATEGIES, 120 W CHURCH ST STE 1F FREDERICK MD, 04/2005, SOLE PROPRIETOR, DBA, INV REL, 40 HR/MO 40 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Anneliese Jisela D'souza's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1998
Experience
Current
March 28, 2005 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 120 W Church St, Frederick, MD 21701RIA
CRD#: 134139
Frederick, MD
Current
July 14, 2004 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 120 W Church St, Frederick, MD 21701BD
CRD#: 39543
FREDERICK, MD
Past
July 14, 2004 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
RIA
CRD#: 39543
FREDERICK, MD
Past
March 28, 2000 - July 12, 2005
VOSO FINANCIAL ADVISERS, LLC
RIA
CRD#: 117998
FREDERICK, MD
Past
February 1, 2000 - July 13, 2004
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
ROCKVILLE, MD
Past
August 30, 1996 - May 29, 1998
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Past
November 2, 1994 - January 14, 1995
MONTANO SECURITIES CORPORATION
BD
CRD#: 7887
ORANGE, CA
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(12/8/2021)
RR
District of Columbia(6/1/2006)
RR
Maryland(7/14/2004)
IAR
Maryland(3/28/2005)
RR
North Carolina(4/27/2020)
RR
Virginia(8/4/2004)
RR
West Virginia(5/7/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
