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RL

Raphael A. Licht

Some features on this profile are disabled
CRD#: 4640806
RL

Professional summary

Raphael A Licht was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Raphael is a previously registered financial professional and started their career in finance in 2004. Prior to being barred, Raphael had worked at 2 firms, which includes RAIT SECURITIES LLC, COHEN & COMPANY SECURITIES LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Raphael Licht

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)

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®
None

Experience

Past

March 10, 2006 - January 12, 2007

RAIT SECURITIES, LLC

BD
CRD#: 136622
PHILADELPHIA, PA
Past

January 7, 2004 - March 10, 2006

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 104002
PHILADELPHIA, PA

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
RR
Series 63
Date: 8/29/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/3/2003
General Securities Representative Examination

Current Firm

RS
RAIT SECURITIES, LLC
RAIT SECURITIES, LLC | TABERNA SECURITIES, LLC

CRD#: 136622 / SEC#: , 8-67032

BD
Terminated by SEC on 01/03/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 02/03/2005
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
TABERNA REALTY FINANCE TRUSTMEMBER
PLUMMER, CHRISTOPHER GEORGECHIEF COMPLIANCE OFFICER4460469
SHENKMAN, MICHAEL CRAIGFINOP4049356
WECHSLER, RON JAMESMANAGING DIRECTOR2880375

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

RAIT SECURITIES, LLC

CRD#: 136622

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