Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Raphael? Claim Your ProfileRaphael Dumas is a financial professional with a focus on securities. He is a registered representative with Smbc Nikko Securities America, Inc. based in New York, NY. Raphael began his career in the financial services industry in 2015. Raphael has passed multiple FINRA exams including Series 63, Series 7, and Series 79, along with the Securities Industry Essentials Examination (SIE). Raphael is licensed to sell securities in all 50 states.
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.
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.
1
2
NY
08/08/2019 - Present
Smbc Nikko Securities America, Inc. (NEW YORK NY)
NY
10/26/2015 - 04/16/2019
HSBC SECURITIES (USA) INC. (NEW YORK NY)
BC
Issued 03/07/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/01/2016
Series 7 - General Securities Representative Examination
BC
Issued 10/26/2015
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
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