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EC

Ernesto Contreras

GBM INTERNATIONAL
Houston, TX 77056
Some features on this profile are disabled
CRD#: 5967353
EC

Professional summary

Ernesto Contreras is a registered financial professional currently at GBM INTERNATIONAL, INC. located in Houston, Texas.

Ernesto is registered as a RR (Registered Representative) and started their career in finance in 2012. Ernesto has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Ernesto Contreras's CRS (Customer Relationship Summary).
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®
None

Experience

Current

March 2, 2012 - Present

GBM INTERNATIONAL, INC.

Office #1: 2700 Post Oak Blvd., Suite 1110, Houston, TX 77056
BD
CRD#: 28684
Houston, TX

State Registrations and Notice Filings

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

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
Arizona
(1/20/2017)
RR
Arkansas
(2/10/2017)
RR
California
(5/9/2012)
RR
Florida
(7/20/2017)
RR
Texas
(5/9/2012)
RR
Virginia
(9/6/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 5/8/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/1/2012
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

GI
GBM INTERNATIONAL, INC.
GBM INTERNATIONAL, INC.

CRD#: 28684 / SEC#: , 8-43882

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
2700 Post Oak Blvd., Suite 1110, Houston, TX 77056
Mailing Address
2700 Post Oak Blvd., Suite 1110, Houston, TX 77056
Phone number
(281) 745-9100
Established
Delaware since 04/26/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (15 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PORTFOLIO INVESTMENTS, INC.SHAREHOLDER
EATON, SAMANTHA MARIECHIEF COMPLIANCE OFFICER5223996
MACOUZET, JOSE ROBERTOPRESIDENT/GENERAL PRINCIPAL4058287
NUNN, RICHARD ANDREWVICE PRESIDENT-FINANCE1016528

Disclosures

Regulatory Event6

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

GBM INTERNATIONAL, INC.

CRD#: 28684Houston, TX 77056

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