Rafael J. Vallejo
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 Javier Vallejo, who also goes by Rafael J Vallejo, Rafael Vallejo, Rafael J. Javier Vallejo, Rafael Vallejo Rivera, was a registered financial professional .
Rafael is a previously registered financial professional and started their career in finance in 1997. Rafael had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2008 - August 29, 2021
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
July 15, 2008 - October 6, 2025
UBS FINANCIAL SERVICES INC.
November 15, 2006 - December 13, 2007
CITIGROUP GLOBAL MARKETS INC.
September 9, 1997 - December 2, 2005
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
September 9, 1997 - December 2, 2005
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
CRD#: 13042 / SEC#: , 8-28475
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 43 |
Red Flags
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