Rina Echavez
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.
Rina Echavez was a registered financial professional .
Rina is a previously registered financial professional and started their career in finance in 1994. Rina had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 6 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2017 - October 30, 2024
SVB WEALTH
June 22, 2015 - August 29, 2016
GEORGINA ASSET MANAGEMENT LLC
August 20, 2014 - June 18, 2015
BARCLAYS CAPITAL INC.
July 2, 2013 - June 18, 2015
BARCLAYS CAPITAL INC.
August 7, 2002 - December 31, 2004
BATEMAN EICHLER & CO., LLC
November 8, 2001 - February 22, 2013
ALETHEIA SECURITIES, INC.,
May 3, 2000 - July 27, 2001
WELLS FARGO CLEARING SERVICES, LLC
October 20, 1999 - March 24, 2000
DREYFUS BROKERAGE SERVICES, INC.
September 8, 1995 - September 10, 1999
WELLS FARGO CLEARING SERVICES, LLC
June 21, 1994 - July 19, 1994
UBS FINANCIAL SERVICES INC.
February 1, 1994 - March 8, 1994
SUNAMERICA SECURITIES, INC.
Primary Firm SEC Registration
SVB WEALTH
CRD#: 172832 / SEC#: 801-80480
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 55
Date: 9/28/2002
Limited Representative-Equity Trader ExamSeries 8
Date: 8/7/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SVB WEALTH
CRD#: 172832 / SEC#: 801-80480
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,739 |
| AUM (Assets Under Management) | $ 4,983,411,995 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/21/2025 | ||
| 09/20/2024 | ||
| 10/31/2022 |
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.
