AN
Ansell H. Neri
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Wake Forest, NC 27587
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CRD#: 5245268
AN
Professional summary
Ansell Ho Neri is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Wake Forest, North Carolina and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Wake Forest, North Carolina.
Ansell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Ansell has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) June-Neri Financial, 1241 S Main St., Ste. 6, Wake Forest, NC 27587, 7/11/08, President AS INDEPENDENT INSURANCE AGENT THROUGH VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 20/WK - 2/TRADING. 2) PHILIPPINES AMERICAN ASSOCIATION OF NORTH CAROLINE 501C3, 1 FLORETTA PLACE, #91101, RALEIGH, NC, BOARD MEMBER OF A NON-PUBLIC ENTITY, 07/08/20, CHAIRMAN, NIR, 1/MO- 0/TRADING 3) WAKE MED FOUNDATION, 3000 NEW BERN AVE, RALEIGH, NC, BOARD MEMBER OF NON-PUBLIC ENTITY, 07/01/20, NIR, 2/MO- 0/TRADING 4) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO - 40 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE. 5) NOTARY PUBLIC, 1241 S. Main St., Suite 6, Wake Forest NC 27587, 03/2025, Agent, Notary, NIR, 1 HR/MO, 1 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Ansell Ho Neri'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®
NoneExperience
Current
June 1, 2021 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 1241 S Main St., Wake Forest, NC 27587RIA
CRD#: 134139
Wake Forest, NC
Current
January 2, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1241 S. Main St, Wake Forest, NC 27587BD
CRD#: 39543
Wake Forest, NC
Past
November 2, 2018 - December 31, 2018
OSAIC WEALTH, INC.
BD
CRD#: 23131
WAKE FOREST, NC
Past
May 13, 2016 - November 2, 2018
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
WAKE FOREST, NC
Past
August 5, 2013 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
WAKE FOREST, NC
Past
October 28, 2009 - May 13, 2013
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
WAKE FOREST, NC
Past
July 3, 2008 - August 27, 2009
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
WAKE FOREST, NC
Past
November 29, 2006 - June 9, 2008
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
RALEIGH, NC
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
Florida(6/8/2023)
RR
Maryland(10/30/2023)
RR
Massachusetts(9/16/2024)
RR
Michigan(9/3/2024)
RR
North Carolina(1/2/2019)
IAR
North Carolina(6/1/2021)
RR
South Carolina(6/5/2024)
RR
Virginia(6/5/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/17/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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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.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Wake Forest, NC 27587TRUST BUT VERIFY
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