Rafael E. Alcorta
Professional summary
Rafael Eduardo Alcorta is a registered financial professional currently at VISION FINANCIAL MARKETS LLC located in Stamford, Connecticut and VISION BROKERAGE SERVICES, LLC located in Stamford, Connecticut.
Rafael is registered as a RR (Registered Representative) and started their career in finance in 2006. Rafael has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Rafael Eduardo Alcorta's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 12, 2023 - Present
VISION FINANCIAL MARKETS LLC
Office #1: 1010 Washington Blvd, Suite 300, Stamford, CT 06901Office #2: 1010 Washington Blvd Suite 300, Stamford, CT 06901January 12, 2023 - Present
VISION BROKERAGE SERVICES, LLC
Office #1: 1010 Washington Blvd Suite 300, Stamford, CT 06901Office #2: 1010 Washington Blvd, Suite 300, Stamford, CT 06901August 4, 2021 - January 8, 2023
TZERO MARKETS
February 26, 2021 - March 15, 2022
SPEEDROUTE LLC
February 26, 2021 - January 8, 2023
TZERO SECURITIES, LLC
October 1, 2013 - June 29, 2020
BANORTE SECURITIES INTERNATIONAL, LTD.
December 13, 2010 - October 1, 2013
SOGOTRADE, INC.
November 10, 2009 - December 13, 2010
GENESIS SECURITIES, LLC
November 29, 2006 - July 7, 2009
E*TRADE SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/12/2023)
Exams
BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
MIAX Sapphire
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
VISION BROKERAGE SERVICES, LLC
CRD#: 47927 / SEC#: , 8-51966
Contact information
FINRA licenses (30 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOSHNACK, ROBERT MARTIN | CLASS A MEMBER | |
| ROTHMAN, HOWARD MARTIN | CLASS A MANAGING MEMBER, CEO, CFO, FINOP, PRINCIPAL FINANCIAL OFFICER | 1098190 |
| HERRITT, JOSHUA DAVID | VP ADMINISTRATION, MUNICIPAL BOND PRINCIPAL, AND ROSFP | 6205459 |
| KARAFA, JOHN MICHAEL | CHIEF COMPLIANCE OFFICER, AMLCO, AND ROSFP | 2927594 |
| MARTINEZ, ANA | VP-OPERATIONS, PRINCIPAL OPERATIONS OFFICER, INSURANCE AND ANNUITY PRINCIPAL | 5288054 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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