Rafael E. Bernal

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CRD#: 3021678

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 Emilio Bernal was a registered financial professional .

Rafael is a previously registered financial professional and started their career in finance in 2009. Rafael had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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

December 1, 2023 - January 26, 2024

WEALTHSPRING CAPITAL LLC

RIA

CRD#: 301040

WEST HARRISON, NY

Past

September 12, 2016 - November 13, 2017

AVATAR CAPITAL GROUP LLC

CRD#: 150136

JERSEY CITY, NJ

Past

August 6, 2014 - August 28, 2014

TRADITION SECURITIES AND DERIVATIVES LLC

CRD#: 28269

NEW YORK, NY

Past

July 31, 2014 - February 24, 2016

AVATAR CAPITAL GROUP LLC

CRD#: 150136

JERSEY CITY, NJ

Past

August 8, 2012 - March 5, 2014

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

Past

September 22, 2011 - August 22, 2012

TP ICAP GLOBAL MARKETS AMERICAS LLC

CRD#: 2762

JERSEY CITY, NJ

Past

January 6, 2009 - August 15, 2011

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WEALTHSPRING CAPITAL LLC

CRD#: 301040 / SEC#: 801-117460

RIA

Registered Investment Advisory firm - (10/9/2019 Approved)

New York

Registered Investment Advisory firm - (10/22/2019 Terminated)

Texas

Registered Investment Advisory firm - (10/22/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/1/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/5/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/13/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/5/2009

General Securities Representative Examination

Current Firm

WEALTHSPRING CAPITAL LLC

CRD#: 301040 / SEC#: 801-117460

RIA

Registered Investment Advisory firm - (10/9/2019 Approved)

New York

Registered Investment Advisory firm - (10/22/2019 Terminated)

Texas

Registered Investment Advisory firm - (10/22/2019 Terminated)

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Contact information

Main Address

2 Westchester Park Drive Suite 108, West Harrison, NY 10604

Mailing Address

Phone number

(914) 419-2207

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- WEALTHSPRING CAPITAL LLC (3/24/2025)

Regulatory assets under management

Total Number of Accounts	324
AUM (Assets Under Management)	$ 454,865,950

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.

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Advisor Monitoring

Firm Stability Insights

Rafael E. Bernal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AVATAR CAPITAL GROUP LLC

TRADITION SECURITIES AND DERIVATIVES LLC

AVATAR CAPITAL GROUP LLC

MAXIM GROUP LLC

TP ICAP GLOBAL MARKETS AMERICAS LLC

TULLETT PREBON FINANCIAL SERVICES LLC

Primary Firm SEC Registration

WEALTHSPRING CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/1/2023

Series 63

Date: 3/5/2009

SIE

Date: 11/13/2017

Series 7

Date: 1/5/2009

Current Firm

WEALTHSPRING CAPITAL LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHSPRING CAPITAL LLC

TRUST BUT VERIFY

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