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Raquel E. Villalpando

Some features on this profile are disabled
CRD#: 2579315
RV

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.

Raquel Elena Villalpando was a registered financial professional .

Raquel is a previously registered financial professional and started their career in finance in 2009. Raquel had worked at 6 firms and has passed the Series 65, SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

September 9, 2014 - April 18, 2016

MISSIONSQUARE WEALTH MANAGEMENT

BD
CRD#: 23189
WASHINGTON, DC
Past

August 28, 2014 - April 18, 2016

MISSIONSQUARE RETIREMENT

RIA
CRD#: 108783
WASHINGTON, DC
Past

April 2, 2012 - October 31, 2012

SPIRE SECURITIES, LLC

BD
CRD#: 144131
MCLEAN, VA
Past

January 11, 2012 - October 31, 2012

SPIRE WEALTH MANAGEMENT, LLC

RIA
CRD#: 113908
RESTON, VA
Past

October 12, 2011 - December 12, 2011

BROWN ADVISORY

RIA
CRD#: 110181
BALTIMORE, MD
Past

August 3, 2009 - October 23, 2009

CONVERGENT WEALTH ADVISORS, LLC

RIA
CRD#: 143719
ROCKVILLE, MD

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: 7/31/2009
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/18/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 3/31/2012
Operations Professional Examination

Current Firm

MW
MISSIONSQUARE WEALTH MANAGEMENT
ICMA - RC SERVICES, INC. | MISSIONSQUARE WEALTH MANAGEMENT | MISSIONSQUARE INVESTMENT SERVICES | ICMA-RC SERVICES, LLC

CRD#: 23189 / SEC#: , 8-40268

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
777 North Capitol Street, Ne Suite 600, Washington, DC 20002-4240
Mailing Address
777 North Capitol Street, Ne Suite 600, Washington, DC 20002-4240
Phone number
(202) 962-4600
Established
Delaware since 12/31/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
INTERNATIONAL CITY MANAGEMENT ASSOCIATION RETIREMENT CORPORATION D/B/A MISSIONSQUARE RETIREMENTMEMBER/OWNER
GANEY, PETER DAVIDSONMANAGER2282691
HOGENDORN, SHANNON DANIELPRINCIPAL MANAGER3221945
HOGENDORN, SHANNON DANIELCHIEF OPERATIONS OFFICER3221945
RICHARDS, CLIFF LAWRENCECHIEF COMPLIANCE OFFICER2974428
WHITTY, RICHARD PATRICKTREASURER/FINOP1988149

Disclosures

Regulatory Event3
Arbitration2

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

MISSIONSQUARE WEALTH MANAGEMENT

CRD#: 23189

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