Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Raphael? Claim Your ProfileRaphael Derek Hochberg is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Raphael Derek Hochberg has been in the industry since July 11, 1995. Raphael Derek Hochberg holds Series 7, Series 63, Series 55, Series 57TO, and SIE licenses. Raphael Derek Hochberg's past employment includes roles at ICAP CORPORATES LLC, MAXIM GROUP LLC, THE VERTICAL GROUP, SARATOGA CAPITAL MARKETS, JNK SECURITIES CORP., ABEL/NOSER CORP., ON-SITE TRADING, INC., TUCKER ANTHONY INCORPORATED, and SMITH BARNEY INC.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
NJ
01/05/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PENNINGTON NJ)
NJ
11/12/2021 - 04/07/2022
ICAP CORPORATES LLC (EDISON NJ)
NY
03/06/2017 - 05/11/2021
MAXIM GROUP LLC (NEW YORK NY)
NJ
01/08/2013 - 03/21/2017
THE VERTICAL GROUP (RED BANK NJ)
NY
09/10/2009 - 12/21/2012
SARATOGA CAPITAL MARKETS (NEW YORK NY)
NY
12/19/2001 - 08/28/2009
JNK SECURITIES CORP. (NEW YORK NY)
NY
02/29/2000 - 10/08/2001
ABEL/NOSER CORP. (NEW YORK NY)
NY
12/10/1998 - 11/01/1999
ON-SITE TRADING, INC. (GREAT NECK NY)
MA
09/15/1997 - 10/30/1998
TUCKER ANTHONY INCORPORATED (BOSTON MA)
NY
09/10/1993 - 09/19/1997
SMITH BARNEY INC. (NEW YORK NY)
BOTH
Issued 12/08/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/22/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/08/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/09/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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