Raul A. Chavez

RCH FIELDS FAMILY WEALTH MANAGEMENT LLC

Denver, CO

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CRD#: 3185803

Professional summary

Raul Anthony Chavez, who also goes by Raul Chavez, is a registered financial advisor currently at RCH FIELDS FAMILY WEALTH MANAGEMENT LLC located in Denver, Colorado.

Raul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Raul has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Raul Chavez

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) - RIA

Click below to view Raul Anthony Chavez's CRS (Customer Relationship Summary).

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

Current

August 19, 2010 - Present

RCH FIELDS FAMILY WEALTH MANAGEMENT LLC

RIA

CRD#: 154757

Denver, CO

Past

May 29, 2007 - December 18, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

NEW YORK, NY

Past

May 29, 2007 - March 5, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 19, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

NEW YORK, NY

Past

May 3, 2004 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

NEW YORK, NY

Past

January 13, 2001 - March 22, 2004

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

March 9, 1999 - January 13, 2001

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(2/27/2015)

IAR

Connecticut
(8/19/2010)

IAR

Texas
(2/26/2020)

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: 9/11/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/7/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/8/1999

General Securities Representative Examination

Current Firm

RCH FIELDS FAMILY WEALTH MANAGEMENT LLC

CRD#: 154757 / SEC#:

Colorado

Registered Investment Advisory firm - (2/26/2015 Approved)

Connecticut

Registered Investment Advisory firm - (8/19/2010 Approved)

Texas

Registered Investment Advisory firm - (2/18/2020 Conditional Restricted)

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Contact information

Main Address

Denver, CO

Mailing Address

Phone number

(917) 577-8234

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	22
AUM (Assets Under Management)	$ 25,194,520

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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Raul A. Chavez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raul Anthony Chavez's CRS (Customer Relationship Summary).

Certified licenses

Experience

RCH FIELDS FAMILY WEALTH MANAGEMENT LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/11/2006

Series 63

Date: 4/7/2001

Series 7

Date: 3/8/1999

Current Firm

RCH FIELDS FAMILY WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RCH FIELDS FAMILY WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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