Rafael R. Sanchez
Professional summary
Rafael Ramon Sanchez was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Rafael is a previously registered financial advisor and started their career in finance in 1984. Prior to being barred, Rafael had worked at 8 firms, which includes SEACREST WEALTH MANAGEMENT LLC, MAM SECURITIES LLC, CROWELL WEEDON & CO., MORGAN STANLEY DW INC., CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, INTERFIRST CAPITAL CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2011 - April 16, 2015
SEACREST WEALTH MANAGEMENT, LLC
September 7, 2007 - February 22, 2011
MAM SECURITIES, LLC
September 6, 2007 - February 22, 2011
MAM SECURITIES, LLC
September 30, 2005 - September 13, 2007
CROWELL, WEEDON & CO.
March 4, 2003 - September 13, 2007
CROWELL, WEEDON & CO.
August 24, 1998 - March 11, 2003
MORGAN STANLEY DW INC.
May 13, 1994 - March 11, 2003
MORGAN STANLEY DW INC.
July 31, 1993 - April 26, 1994
CITIGROUP GLOBAL MARKETS INC.
June 3, 1987 - July 31, 1993
LEHMAN BROTHERS INC.
July 12, 1984 - June 1, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 23, 1984 - June 9, 1984
INTERFIRST CAPITAL CORPORATION
Primary Firm SEC Registration
SEACREST WEALTH MANAGEMENT, LLC
CRD#: 147092 / SEC#: 801-69141
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 8
Date: 9/20/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SEACREST WEALTH MANAGEMENT, LLC
CRD#: 147092 / SEC#: 801-69141
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,945 |
| AUM (Assets Under Management) | $ 1,561,182,425 |
Red Flags
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