AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RS

Rafael Santiago

Some features on this profile are disabled
CRD#: 2494647
RS

Professional summary

Rafael Santiago was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Rafael is a previously registered financial advisor and started their career in finance in 1994. Prior to being barred, Rafael had worked at 7 firms, which includes VCS VENTURE SECURITIES, AXOS CLEARING LLC, HALCYON CABOT PARTNERS LTD., MORGAN STANLEY, JOHN THOMAS FINANCIAL, LIGHTHOUSE FINANCIAL GROUP LLC, PRUCO SECURITIES LLC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rafael Santiago Mr

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)

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

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

Past

April 1, 2015 - February 23, 2016

VCS VENTURE SECURITIES

BD
CRD#: 127921
NEW YORK, NY
Past

November 3, 2014 - November 18, 2014

VCS VENTURE SECURITIES

BD
CRD#: 127921
NEW YORK, NY
Past

July 18, 2013 - October 17, 2014

AXOS CLEARING LLC

BD
CRD#: 117176
EDISON, NJ
Past

June 11, 2013 - August 8, 2013

HALCYON CABOT PARTNERS, LTD.

BD
CRD#: 32664
NEW YORK, NY
Past

July 10, 2012 - March 8, 2013

MORGAN STANLEY

RIA
CRD#: 149777
STROUDSBURG, PA
Past

April 26, 2012 - March 8, 2013

MORGAN STANLEY

BD
CRD#: 149777
STROUDSBURG, PA
Past

June 23, 2011 - October 20, 2011

JOHN THOMAS FINANCIAL

BD
CRD#: 40982
NEW YORK, NY
Past

March 23, 2007 - April 30, 2010

LIGHTHOUSE FINANCIAL GROUP, LLC

BD
CRD#: 103734
NEW YORK, NY
Past

May 27, 1994 - September 19, 1995

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/9/2012
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/18/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/23/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 7/31/2012
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 55
Date: 2/1/2008
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/22/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/25/1994
Investment Company Products/Variable Contracts Representative Examination

Current Firm

VV
VCS VENTURE SECURITIES
D R F BUSINESS AND FINANCIAL SERVICES, LLC | VCS VENTURE SECURITIES | PRIMARY CAPITAL, LLC

CRD#: 127921 / SEC#: , 8-66069

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
29 Broadway Suite 1502, New York, NY 10006-3201
Mailing Address
29 Broadway Suite 1502, New York, NY 10006-3221
Phone number
(212) 404-7696
Established
Delaware since 11/16/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LEO CAPITAL MARKETS, LLCDIRECT OWNER
NEW AGE CAPITAL MANAGEMENT, LLCDIRECT OWNER
MOOD, TRAVIS ANTON MORSEREGISTERED OPTIONS PRINCIPAL4745001
NIXON, JON ALANFINOP4710715
STALANSKI, JOHN WALTERAMLCO2922709
STALANSKI, JOHN WALTERCHIEF OPERATING OFFICER2922709
STALANSKI, JOHN WALTERCHIEF COMPLIANCE OFFICER2922709

Disclosures

Regulatory Event3

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.

Company Information

VCS VENTURE SECURITIES

CRD#: 127921

TRUST BUT VERIFY

Monitor Rafael Santiago

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.