Rafael J. Delcarpio
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.
Rafael James Delcarpio, who also goes by Rafael James Delcarpio Jr, Rafael James Jr Delcarpio, was a registered financial professional .
Rafael is a previously registered financial professional and started their career in finance in 1992. Rafael had worked at 12 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2010 - March 26, 2014
NORTHEAST SECURITIES, LLC
May 31, 2007 - December 2, 2009
ASD FINANCIAL SERVICES CORP
February 8, 2006 - August 23, 2006
ASD FINANCIAL SERVICES CORP
January 25, 2006 - February 14, 2006
STANFORD GROUP COMPANY
November 5, 2004 - February 3, 2006
VFINANCE INVESTMENTS, INC
August 2, 2002 - November 10, 2004
GLOBAL PARTNERS SECURITIES INC.
June 13, 2002 - September 4, 2002
PROVIDENT INTERNATIONAL SECURITIES, INC.
August 27, 1997 - April 10, 2001
BRADESCO INVESTMENTS INC.
July 10, 1996 - June 23, 1997
FIRST EQUITY CORPORATION OF FLORIDA
May 2, 1995 - June 11, 1996
GRUNTAL & CO., L.L.C.
September 16, 1994 - May 5, 1995
GKN SECURITIES CORP.
March 5, 1992 - September 21, 1994
METROPOLITAN LIFE INSURANCE COMPANY
March 5, 1992 - September 21, 1994
MSI FINANCIAL SERVICES, INC.
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
Current Firm
NORTHEAST SECURITIES, LLC
CRD#: 25996 / SEC#: , 8-42227
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO FINANCIAL SERVICES, LLC | SHAREHOLDER | |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| DIAMANTIS, JOHN M | CHAIRMAN | 1310200 |
| DUFFY, PAUL EDWARD | PRESIDENT | 2227111 |
| O'ROURKE, CHARLES MICHAEL | SECRETARY | 733917 |
| STICE, HAROLD EUGENE | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, ROSFP | 1349210 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 11 |
Red Flags
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