Rafaela D. Gittens
Professional summary
Rafaela Diaz Gittens, CFP®, who also goes by Rafaela Diaz, Rafaela Diaz Gittens, Rafaela Gittens, is a registered financial professional currently at NYLIFE SECURITIES LLC located in New York, New York.
Rafaela is registered as a RR (Registered Representative) and started their career in finance in 2006. Rafaela has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Rafaela Diaz Gittens's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2016
Experience
January 2, 2025 - Present
NYLIFE SECURITIES LLC
Office #1: 51 Madison Avenue, New York, NY 10010April 21, 2022 - December 3, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 15, 2022 - December 3, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 13, 2020 - September 9, 2021
J.P. MORGAN SECURITIES LLC
January 13, 2020 - September 9, 2021
J.P. MORGAN SECURITIES LLC
July 25, 2016 - November 4, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 25, 2016 - November 4, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 10, 2010 - June 16, 2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 10, 2010 - June 16, 2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 31, 2007 - November 13, 2009
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 31, 2007 - November 13, 2009
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 13, 2006 - May 15, 2007
UBS FINANCIAL SERVICES 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
(1/2/2025)
Exams
FINRA
Current Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
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.
