Rafael L. Marte
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 Luis Marte, who also goes by Rafael Louis Marte, was a registered financial professional .
Rafael is a previously registered financial professional and started their career in finance in 2001. Rafael had worked at 20 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2020 - December 8, 2020
OCP CAPITAL, LLC
June 11, 2013 - January 4, 2016
GWM GROUP, INC.
May 13, 2013 - December 17, 2015
INDEPENDENT BROKERS LLC
April 26, 2012 - February 25, 2014
JOHN CARRIS INVESTMENTS LLC
May 18, 2011 - March 26, 2012
GENTRY SECURITIES LLC
November 10, 2009 - February 17, 2016
REID & RUDIGER LLC
November 10, 2009 - November 29, 2017
XNERGY FINANCIAL LLC
August 3, 2007 - November 2, 2010
AMERICAN UNION SECURITIES, INC.
April 10, 2007 - October 24, 2007
MASON SECURITIES, INC.
June 9, 2006 - July 13, 2007
STG SECURE TRADING GROUP, INC.
May 12, 2006 - June 11, 2010
WIZER FINANCIAL, INC.
January 19, 2005 - October 24, 2005
GREENWICH GLOBAL, LLC
November 2, 2004 - October 31, 2006
LONGSTREET CAPITAL PARTNERS, INC.
November 18, 2003 - June 26, 2006
GRYPHON FINANCIAL SECURITIES CORP.
October 24, 2003 - May 15, 2009
SEQUOIA INVESTMENTS, INC.
October 2, 2003 - October 20, 2003
INDIANAPOLIS SECURITIES, INC.
July 17, 2003 - August 20, 2003
PHILLIP LOUIS TRADING, INC.
June 18, 2003 - August 19, 2003
VISION SECURITIES INC.
April 10, 2003 - July 14, 2009
REID & RUDIGER LLC
January 30, 2002 - July 21, 2008
HALLIDAY FINANCIAL, LLC
December 5, 2001 - February 11, 2002
JERSEY SHORE TRADING GROUP INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 8/24/2020
Operations Professional ExaminationCurrent Firm
OCP CAPITAL, LLC
CRD#: 143381 / SEC#: , 8-67556
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHIMERA CAPITAL PARTNERS, LLC | MEMBER | |
| RUDMAN, GEORGE PAUL | PRESIDENT, CCO, FINOP | 2757828 |
Disclosures
| Regulatory Event | 1 |
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.
