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Rafael Antonio Quixano

CRD# 2402530·Registered 1993 - 2012
Previously Registered: Being a previously registered professional could mean that Rafael 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

Rafael Antonio Quixano, who also goes by Rafael Quixano Mendez, was a registered financial advisor. Rafael was a previously registered financial professional and started their career in finance 1993 - 2012. Rafael had worked at 9 firms and has passed the Series 63, Series 31, Series 7 and Series 6 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

Rafael Quixano Mendez

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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

33 years in the financial services industry

Current & Past Employments

RD CAPITAL GROUP, INC.·CRD# 37470
BD
San Juan, PR
December 13, 2011 - May 10, 2012
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO·CRD# 13042
BD
Guaynabo, PR
September 24, 2003 - November 18, 2011
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Guaynabo, PR
September 24, 2003 - November 18, 2011
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
BD
St. Louis, MO
July 1, 2003 - September 23, 2003
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
October 29, 1999 - July 1, 2003
DORAL SECURITIES, INC.·CRD# 40944
BD
Puerto Nuevo, PR
February 20, 1998 - October 18, 1999
DORAL SECURITIES, INC.·CRD# 40944
BD
January 12, 1998 - January 23, 1998
OFS SECURITIES, INC.·CRD# 39615
BD
Hato Rey, PR
May 21, 1996 - January 26, 1998
RD CAPITAL GROUP, INC.·CRD# 37470
BD
San Juan, PR
December 13, 1995 - May 14, 1996
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
September 15, 1994 - December 4, 1995
VERAVEST INVESTMENTS, INC.·CRD# 3960
BD
Worcester, MA
October 5, 1993 - August 24, 1994

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Current Firm

RC
RD CAPITAL GROUP, INC.

RD CAPITAL GROUP, INC.

CRD#: 37470 / SEC#: 8-47759
BD
Terminated by SEC on 01/05/2024

Contact Information

Established

Puerto Rico since 07/26/1994

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
DOMINGUEZ THOMAS, RAMON LUISPRESIDENT839486
MUNOZ VELEZ, CESARCHIEF COMPLIANCE OFFICER1554200
RODRIGUEZ OCASIO, ZAIDA MARIAFINOP/CFO4252791

Disclosures

Regulatory Event

1

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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 63 — Uniform Securities Agent State Law Examination

Passed Oct 1994About the Series 63 exam

Series 31 — Futures Managed Funds Examination

Passed Mar 1995About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed Jun 1994About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Oct 1993About the Series 6 exam

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CRS (Client Relationship Summary)

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

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