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RG

Raphael L. Garfield

IA GLOBAL CAPITAL LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 4256193
RG

Professional summary

Raphael Lev Garfield is a registered financial professional currently at IA GLOBAL CAPITAL LLC located in New York, New York.

Raphael is registered as a RR (Registered Representative) and started their career in finance in 2000. Raphael has worked at 2 firms and has passed the Series 79TO, SIE and Series 7 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) - BD

Click below to view Raphael Lev Garfield'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

October 25, 2005 - Present

IA GLOBAL CAPITAL LLC

Office #1: 101 Park Avenue 38th Floor, New York, NY 10017
BD
CRD#: 129802
New York, NY
Past

September 1, 2000 - October 24, 2001

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

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

General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/7/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

IG
IA GLOBAL CAPITAL LLC
IA GLOBAL CAPITAL LLC | INNOVATION ADVISORS LLC

CRD#: 129802 / SEC#: , 8-66255

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

Main Address
101 Park Avenue 38th Floor, New York City, NY 10178
Mailing Address
244 Madison Avenue #385, New York City, NY 10016
Phone number
(212) 710-5302
Established
New York since 06/09/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
IA GLOBAL CAPITAL HOLDING LLCOWNER
FRIEDFELD GEBAIDE, ERIC FOSTERMANAGER2801908
FRIEDFELDGEBAIDE, ERIC FOSTERCHIEF COMPLIANCE OFFICER2801908
MACK, ALEXANDER HERBERTFINANCIAL AND OPERATIONS PRINCIPAL, CFO, PRINCIPAL4805607

Disclosures

Regulatory Event1

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

IA GLOBAL CAPITAL LLC

CRD#: 129802New York, NY 10017

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