Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Raul? Claim Your ProfileRaul Figueroa is a financial professional with over 10 years of experience in the industry. Raul has a Series 6, 7, 63, and 66 and is registered with Wells Fargo Clearing Services, LLC. Raul has previously been registered with Chase Investment Services Corp. Raul specializes in working with individuals, high-net-worth individuals, corporations, and pension and profit-sharing plans.
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.
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.
Investment consulting services to institutional clients
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
CA
10/28/2020 - Present
Wells Fargo Clearing Services, LLC (SALINAS CA)
CA
04/16/2010 - 01/07/2011
CHASE INVESTMENT SERVICES CORP. (SALINAS CA)
BOTH
Issued 10/28/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/29/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/25/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/14/2010
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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