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Raul Mas

CRD# 1604190·Registered 1987 - 2012
Previously Registered: Being a previously registered professional could mean that Raul 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

Raul Mas was a registered financial advisor. Raul was a previously registered financial professional and started their career in finance 1987 - 2012. Raul had worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 7, 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.

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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

39 years in the financial services industry

Current & Past Employments

EFG CAPITAL ADVISORS INC.·CRD# 112224
RIA
Miami, FL
March 25, 2011 - September 6, 2012
METTA WEALTH MANAGEMENT, LLC·CRD# 143572
RIA
Coral Gables, FL
October 24, 2008 - March 2, 2011
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
Minneapolis, MN
November 8, 2001 - September 3, 2003
INVESTACORP, INC.·CRD# 7684
BD
Miami, FL
December 4, 1998 - November 9, 1999
EFG CAPITAL INTERNATIONAL·CRD# 40118
BD
Miami, FL
September 18, 1996 - May 13, 1997
IBEROAMERICAN SECURITIES CORP.·CRD# 37033
BD
Miami, FL
May 3, 1995 - September 4, 1996
GUZMAN & COMPANY·CRD# 21013
BD
Coral Gables, FL
November 26, 1990 - June 27, 1992
GOLDMAN SACHS & CO. LLC·CRD# 361
BD
January 1, 1987 - January 9, 1989

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Current Firm

EC
EFG CAPITAL ADVISORS INC.

EFG CAPITAL ADVISORS | PRS INVESTMENT ADVISORY | PRS INTERNATIONAL INVESTMENT ADVISORY SERVICE | PRS GROUP | EFG CAPITAL ADVISORS INC.

CRD#: 112224 / SEC#: 801-32497

Contact Information

Main Address

701 Brickell Ave, Ste 1350, Miami, FL 33131

Documents

Latest Form ADV

Part 2 Brochures

EFG CAPITAL ADVISORS ADV PART 2 (3/29/2018)

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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 65 — Uniform Investment Adviser Law Examination

Passed Oct 2008About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1987About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Mar 1987About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Dec 1986About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Feb 1995About the Series 24 exam

Series 27 — Financial and Operations Principal Examination

Passed Dec 1994About 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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