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Raphael Warshawsky

CRD# 1097249·Registered 1983 - 1990
Previously Registered: Being a previously registered professional could mean that Raphael is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Raphael Warshawsky was a registered financial advisor. Raphael was a previously registered financial professional and started their career in finance 1983 - 1990. Raphael had worked at 5 firms and has passed the Series 7, Series 4, Series 24 and Series 27 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

43 years in the financial services industry

Current & Past Employments

EDGEWATER SECURITIES, INC.·CRD# 22884
BD
New York, NY
December 1, 1988 - March 21, 1990
GINSBERG & GARIPOLI SECURITIES CORP.·CRD# 18973
BD
July 30, 1987 - October 14, 1987
PRELUDE SECURITIES CORP.·CRD# 18462
BD
March 12, 1987 - November 29, 1988
CLAIRMONT SECURITIES INC.·CRD# 7206
BD
June 21, 1984 - April 30, 1990
L. F. ROTHSCHILD & CO. INCORPORATED·CRD# 501
BD
March 22, 1983 - May 14, 1984

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Current Firm

ES
EDGEWATER SECURITIES, INC.

EDGEWATER SECURITIES, INC.

CRD#: 22884 / SEC#: 8-40019
BD
Cancelled by FINRA on 03/21/1990

Contact Information

Established

New Jersey since 08/21/1986

Firm Type

Corporation

Fiscal Year End

December

Documents

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 7 — General Securities Representative Examination

Passed Mar 1983About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed May 1986About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Jun 1985About the Series 24 exam

Series 27 — Financial and Operations Principal Examination

Passed Oct 1984About the Series 27 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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