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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rafael? Claim Your ProfileRafael Antonio De vengoechea is a financial advisor with over 20 years of experience in the industry. Rafael is currently registered with Morgan Stanley and is licensed to provide investment advice in California and Texas. Rafael also holds licenses in 45 other states. Previously, Rafael was a financial advisor with Citigroup Global Markets Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Rafael has passed the Series 3, 7, 31, and 66 exams, and is also a licensed Investment Advisor Representative. Rafael has a wide range of experience and is able to provide financial advice to individuals, businesses, and institutions.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
02/11/2014 - Present
Morgan Stanley (Newport Beach CA)
CA
10/05/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEWPORT BEACH CA)
CA
10/26/1999 - 10/08/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (COSTA MESA CA)
IA
Issued 06/10/2005
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 12/22/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/25/2009
Series 3 - National Commodity Futures Examination
BC
Issued 03/12/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 10/25/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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