Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rafael? Claim Your ProfileRafael De Oliveira is a financial advisor with Principal Securities, Inc. Rafael has been in the financial industry since 2016. Rafael has Series 7, 63, and 66 licenses and holds both a broker-dealer and investment advisor representative registration. Rafael has experience with individuals, corporations, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. Rafael has previously worked at Charles Schwab & Co., Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Rafael also owns Lua Empire LLC, a drop shipping company.
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.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
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2
AZ
07/31/2024 - Present
Principal Securities, Inc. (PHOENIX AZ)
AZ
09/02/2021 - 09/16/2022
CHARLES SCHWAB & CO., INC. (Phoenix AZ)
AZ
02/06/2017 - 02/05/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (TEMPE AZ)
UT
03/11/2016 - 01/30/2017
TD AMERITRADE, INC. (DRAPER UT)
AZ
09/14/2015 - 03/03/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHANDLER AZ)
BC
Issued 09/23/2021
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 10/28/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/02/2021
Series 7TO - General Securities Representative Examination
BC
Issued 02/05/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/11/2015
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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