CR
Celia A. Rafalko
Some features on this profile are disabled
CRD#: 3186106
CR
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.
Celia A Rafalko was a registered financial professional .
Celia is a previously registered financial professional and started their career in finance in 2002. Celia had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
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.
1. Goochland Free Clinic and Family Services, Goochland, VA, Board Member, 2015, not investment related, approx. 10 hours per month not during trading hours, no compensation received. 2. Celia acts as the trustee for a non-family related account, Glen Allen, VA, 2012, approx. 20 hours per month both during and after trading hours, investment related, fees received are nominal and are not a substantial portion of income. 3. Deep Run Hunt Club Name: Deep Run Hunt Club Investment-related: Yes Address: 1540 Manakin Road Manakin Sabot, VA 2303 Nature: Social Club Title: Investment Committee Chair Start Date: 07/01/2021 Hours/month: 5 Hours/month during trading hours: 0 Duties: Chair the Investment Committee and report to the Treasurer, President, and Board on current status of investments 4. Richmond Forum Address: 110 S. 15th St. Suite B Richmond, VA 23219 Investment-related: yes Nature/Position/Title: Investment Committee Chair Start Date: 07/26/2022 Hours/month: 2 Hours/month - trading: 0 Duties: Chair the Richmond Forum Investment Committee to review foundation holdings and investment reports from the advisor. No discretion, no trading authority, no compensation. Other Business Name: VA Museum of Fine Arts Foundation Address:200 N. Arthur Ashe Blvd, Richmond, VA 23226 Investment-Related?No Nature of the Other Business:Arts Institutions Postion at Other Business:Foundation Board Member Title at Other Business:Foundation Board Member Relationship with Other BusinessNo Start Date of your Relationship:1/1/2025-01/01/2029 Will be providing Investment Advice as part of Role?:No Will be involved in the handling of the entity's funds, securities, investments, or like?:No Approximate Hours/Month devoted to other business:5 Number of Hours devoted to other business during securities trading hours:3 Will you be compensated for the OBA?:No Description of duties related to other Business:Foundation Board member on multiple committees.
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®
NoneExperience
Past
December 4, 2017 - July 29, 2025
CARY STREET PARTNERS
RIA
CRD#: 128545
Glen Allen, VA
Past
January 22, 2015 - December 15, 2017
RAFALKO ADVISORS, INC.
RIA
CRD#: 146540
GLEN ALLEN, VA
Past
September 21, 2009 - October 23, 2009
CAPITOL SECURITIES MANAGEMENT, INC.
RIA
CRD#: 14169
GLEN ALLEN, VA
Past
September 21, 2009 - March 11, 2010
CAPITOL SECURITIES MANAGEMENT, INC.
BD
CRD#: 14169
GLEN ALLEN, VA
Past
August 31, 2009 - December 31, 2015
RAFALKO INVESTMENT ADVISORY, LLC
RIA
CRD#: 151028
MANAKIN SABOT, VA
Past
July 15, 2003 - January 12, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
RICHMOND, VA
Past
May 9, 2002 - January 12, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
RICHMOND, VA
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".
CS
CARY STREET PARTNERS
CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC
CRD#: 128545 / SEC#: 801-64239
RIA
Registered Investment Advisory firm - (8/12/2005 Approved)Virginia
Registered Investment Advisory firm - (3/2/2007 Terminated)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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
CS
CARY STREET PARTNERS
CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC
CRD#: 128545 / SEC#: 801-64239
RIA
Registered Investment Advisory firm - (8/12/2005 Approved)Virginia
Registered Investment Advisory firm - (3/2/2007 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
901 East Byrd Street Suite 1001, Richmond, VA 23219
Mailing Address
Phone number
(804) 340-8100
Established
Firm type
Fiscal year end
# of Employees
166
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,853 |
| AUM (Assets Under Management) | $ 8,263,891,736 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/22/2024 | ||
| 07/25/2023 | ||
| 01/27/2023 |
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.
