Rafael E. Febus

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CRD#: 1256860

Professional summary

Rafael Enricque Febus SR 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 1986. Prior to being barred, Rafael had worked at 13 firms, which includes FISERV INVESTOR SERVICES INC., FIRST MONTAUK SECURITIES CORP., EDWARD JONES, INDEPENDENT FINANCIAL SECURITIES INC., CHEMICAL INVESTMENT SERVICES CORP., IFMG SECURITIES INC., INVEST FINANCIAL CORPORATION, CAPITAL BROKERAGE CORPORATION, FINANCIAL HORIZONS SECURITIES CORPORATION, PAMCO SECURITIES AND INSURANCE SERVICES, WELCO SECURITIES INC., J. W. GANT & ASSOCIATES INC., THE STUART-JAMES COMPANY INCORPORATED.

Question & Answer

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Aliases

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 26, 2001 - May 1, 2002

FISERV INVESTOR SERVICES, INC.

CRD#: 34637

HOUSTON, TX

Past

April 25, 2000 - June 15, 2001

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

August 3, 1995 - May 3, 2000

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

March 8, 1995 - August 2, 1995

INDEPENDENT FINANCIAL SECURITIES, INC.

CRD#: 19924

Past

August 1, 1994 - March 7, 1995

CHEMICAL INVESTMENT SERVICES CORP.

CRD#: 36312

Past

May 28, 1993 - August 1, 1994

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

August 28, 1992 - May 28, 1993

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

September 14, 1990 - August 27, 1992

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

February 1, 1990 - September 21, 1990

FINANCIAL HORIZONS SECURITIES CORPORATION

CRD#: 20221

Past

September 11, 1989 - January 18, 1990

PAMCO SECURITIES AND INSURANCE SERVICES

CRD#: 11028

Past

November 18, 1987 - May 4, 1989

WELCO SECURITIES, INC.

CRD#: 14061

BALA CYNWYD, PA

Past

June 12, 1987 - November 18, 1987

J. W. GANT & ASSOCIATES, INC.

CRD#: 7963

Past

May 27, 1986 - November 24, 1987

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/12/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/8/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/24/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/4/2000

General Securities Principal Examination

Current Firm

FISERV INVESTOR SERVICES, INC.

BHC MARKETING, INC. | FISERV INVESTOR SERVICES, INC. | BHCM INC.

CRD#: 34637 / SEC#: , 8-46496

Terminated by SEC on 02/12/2006

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 06/17/1993

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
BHC INVESTMENTS, INC.	SHAREHOLDER
COLLEPS, ELIZABETH ANN	VICE PRESIDENT/CONTROLLER	1033129
KATZELNICK, MARK CURTIS	DIRECTOR	2919730
MINI, STEPHEN ANTHONY	COMPLIANCE OFFICER	1272424
PHILLIPS, STEPHEN JOHN	PRESIDENT	3078395

Disclosures

Regulatory Event	5
Arbitration	3

Red Flags

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Firm Stability Insights

Rafael E. Febus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST MONTAUK SECURITIES CORP.

EDWARD JONES

INDEPENDENT FINANCIAL SECURITIES, INC.

CHEMICAL INVESTMENT SERVICES CORP.

IFMG SECURITIES, INC.

INVEST FINANCIAL CORPORATION

CAPITAL BROKERAGE CORPORATION

FINANCIAL HORIZONS SECURITIES CORPORATION

PAMCO SECURITIES AND INSURANCE SERVICES

WELCO SECURITIES, INC.

J. W. GANT & ASSOCIATES, INC.

THE STUART-JAMES COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 12/12/2000

Series 63

Date: 9/8/1986

Series 7

Date: 5/24/1986

Series 24

Date: 8/4/2000

Current Firm

FISERV INVESTOR SERVICES, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FISERV INVESTOR SERVICES, INC.

TRUST BUT VERIFY

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