Raul H. Elizalde

PATH FINANCIAL

Sarasota, FL

Some features on this profile are disabled

CRD#: 1573563

Professional summary

Raul Horacio Elizalde is a registered financial advisor currently at PATH FINANCIAL, LLC located in Sarasota, Florida.

Raul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Raul has worked at 7 firms and has passed the Series 66, Series 63, Series 16, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Raul Horacio Elizalde's CRS (Customer Relationship Summary).

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

Current

June 11, 2008 - Present

PATH FINANCIAL, LLC

RIA

CRD#: 146891

Sarasota, FL

Past

July 11, 2003 - June 20, 2008

MICHAEL SAUNDERS SECURITIES CORP.

CRD#: 35599

LONGBOAT KEY, FL

Past

August 23, 2000 - May 7, 2002

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

October 5, 1998 - April 28, 2000

SANTANDER INVESTMENT SECURITIES INC.

CRD#: 37216

NEW YORK, NY

Past

November 6, 1995 - March 10, 1998

ING BARING (U.S.) SECURITIES, INC.

CRD#: 5285

NEW YORK, NY

Past

September 3, 1994 - November 6, 1995

INTERNATIONALE NEDERLANDEN (U.S.) SECURITIES CORPORATION

CRD#: 31797

Past

October 22, 1986 - May 8, 1990

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(6/11/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/1/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/22/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 16

Date: 6/28/2001

NYSE Supervisory Analyst Examination

General Industry/Product Exam

Series 7

Date: 9/1/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/2/1999

General Securities Principal Examination

Current Firm

PATH FINANCIAL, LLC

CRD#: 146891 / SEC#:

Florida

Registered Investment Advisory firm - (6/11/2008 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Sarasota, FL

Mailing Address

1990 Main Street Suite 750, Sarasota, FL 34236

Phone number

(941) 350-7904

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	105
AUM (Assets Under Management)	$ 35,800,000

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Raul H. Elizalde

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raul Horacio Elizalde's CRS (Customer Relationship Summary).

Certified licenses

Experience

MICHAEL SAUNDERS SECURITIES CORP.

BANC OF AMERICA SECURITIES LLC

SANTANDER INVESTMENT SECURITIES INC.

ING BARING (U.S.) SECURITIES, INC.

INTERNATIONALE NEDERLANDEN (U.S.) SECURITIES CORPORATION

SALOMON BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/1/2008

Series 63

Date: 9/22/1994

Series 16

Date: 6/28/2001

Series 7

Date: 9/1/1994

Series 24

Date: 3/2/1999

Current Firm

PATH FINANCIAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PATH FINANCIAL, LLC

TRUST BUT VERIFY

Similar Advisors