Rafael Astruc
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 Astruc was a registered financial professional .
Rafael is a previously registered financial professional and started their career in finance in 2011. Rafael had worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2012 - July 5, 2016
GARRISON SECURITIES LLC
December 8, 2011 - November 7, 2012
OMNICAP, LLC
State Registrations and Notice Filings
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Exams
Current Firm
GARRISON SECURITIES LLC
CRD#: 159427 / SEC#: , 8-68985
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GARRISON STRATEGIC ADVISORS LLC | PARENT | |
| CHASE, BRIAN STEVEN | COO | 5855556 |
| CHASE, BRIAN STEVEN | CEO | 5855556 |
| MEGENITY, BRIAN MCDONALD | CHIEF COMPLIANCE OFFICER | 2889637 |
| MEGENITY, BRIAN MCDONALD | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2889637 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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