Rafael Golan
Professional summary
Rafael Golan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Rafael is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Rafael had worked at 15 firms, which includes CRYSTAL BAY SECURITIES INC., INDEPENDENT FINANCIAL GROUP LLC, SENTRA SECURITIES CORPORATION, PRIME CAPITAL SERVICES INC., AVALON RESEARCH GROUP INC., SSI SECURITIES CORP., BAXTER BANKS & SMITH LTD., U.S. SECURITIES & FUTURES CORP., SECURITIES AMERICA INC., UBS FINANCIAL SERVICES INC., A. G. EDWARDS & SONS INC., LEHMAN BROTHERS INC., KIDDER PEABODY & CO. INCORPORATED, CVR FINANCIAL CORPORATION OF AMERICA INC., THE KEYES INVESTMENT GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2007 - January 3, 2019
CRYSTAL BAY SECURITIES INC.
December 10, 2004 - December 31, 2006
INDEPENDENT FINANCIAL GROUP, LLC
September 21, 2001 - November 23, 2004
SENTRA SECURITIES CORPORATION
March 29, 1999 - August 24, 2001
PRIME CAPITAL SERVICES, INC.
February 3, 1999 - February 18, 1999
AVALON RESEARCH GROUP, INC.
May 12, 1998 - January 26, 1999
SSI SECURITIES CORP.
November 20, 1997 - May 26, 1998
BAXTER BANKS & SMITH, LTD.
April 12, 1996 - November 6, 1996
U.S. SECURITIES & FUTURES CORP.
November 17, 1992 - March 1, 1996
SECURITIES AMERICA, INC.
April 20, 1990 - October 8, 1992
UBS FINANCIAL SERVICES INC.
April 13, 1989 - April 26, 1990
A. G. EDWARDS & SONS, INC.
August 31, 1988 - April 13, 1989
LEHMAN BROTHERS INC.
May 3, 1984 - September 13, 1988
KIDDER, PEABODY & CO. INCORPORATED
December 6, 1983 - April 16, 1984
CVR FINANCIAL CORPORATION OF AMERICA, INC.
January 11, 1983 - September 23, 1983
THE KEYES INVESTMENT GROUP, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CRYSTAL BAY SECURITIES INC.
CRD#: 142339 / SEC#: , 8-67456
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GOLAN, RAFAEL | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 1074079 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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