Raphael Aryeh
Professional summary
Being a previously registered professional could mean that this person 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.
Raphael Aryeh, who also goes by Raphael Aryey, was a registered financial professional .
Raphael is a previously registered financial professional and started their career in finance in 1984. Raphael had worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 14, Series 27, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 1987 - July 19, 2024
RAPHAEL ARYEH AND ASSOCIATES
February 18, 1987 - January 9, 1989
NEW ENGLAND SECURITIES
September 24, 1985 - February 13, 1987
NATHAN & LEWIS SECURITIES, INC.
March 27, 1984 - January 9, 1989
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
RAPHAEL ARYEH AND ASSOCIATES
CRD#: 17858 / SEC#: 801-62761, 8-35565
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 8,400,000 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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.
