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Rafael J. Anglada

EQUITABLE DISTRIBUTORS
Charlotte, NC 28262
Some features on this profile are disabled
CRD#: 5269354
RA

Professional summary

Rafael Javier Anglada is a registered financial professional currently at EQUITABLE DISTRIBUTORS, LLC located in Charlotte, North Carolina.

Rafael is registered as a RR (Registered Representative) and started their career in finance in 2008. Rafael has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Rafael Javier Anglada's CRS (Customer Relationship Summary).

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

Current

April 19, 2022 - Present

EQUITABLE DISTRIBUTORS, LLC

Office #1: 8501 Ibm Drive Suite 150, Charlotte, NC 28262
BD
CRD#: 25900
Charlotte, NC
Past

August 27, 2019 - April 21, 2022

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA
CRD#: 611
Chicago, IL
Past

August 27, 2019 - April 21, 2022

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

BD
CRD#: 611
OMAHA, NE
Past

November 2, 2017 - May 13, 2019

PNC CAPITAL ADVISORS LLC

RIA
CRD#: 151829
Chicago, IL
Past

June 13, 2017 - May 15, 2019

FORESIDE DISTRIBUTION SOLUTIONS, LLC

BD
CRD#: 118787
CHICAGO, IL
Past

February 16, 2010 - April 18, 2017

MUTUAL OF AMERICA SECURITIES LLC

BD
CRD#: 27878
WESTCHESTER, IL
Past

February 16, 2010 - April 18, 2017

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

BD
CRD#: 15356
WESTCHESTER, IL
Past

July 8, 2008 - July 21, 2009

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
DOWNERS GROVE, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(4/19/2022)
RR
Iowa
(4/19/2022)
RR
Minnesota
(4/19/2022)
RR
Wisconsin
(4/19/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/23/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/6/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/7/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/5/2008
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ED
EQUITABLE DISTRIBUTORS, LLC
AXA DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, INC. | AXA PARTNERS, A BUSINESS UNIT OF AXA DISTRIBUTORS, LLC

CRD#: 25900 / SEC#: , 8-42123

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
8501 Ibm Drive, Suite 150, Charlotte, NC 28262
Mailing Address
1345 Avenue Of The Americas, New York, NY 10105
Phone number
(212) 314-2137
Established
Delaware since 01/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
EQ HOLDINGS, LLCOWNER
D'AUGUSTE, ARIELLE RACHELGENERAL COUNSEL7252573
KAIS, JAMES MICHAELDIRECTOR2529327
LANE, NICHOLAS BURRITTCHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER4994948
LARUSSA, CHRISTOPHER JOHNCHIEF COMPLIANCE OFFICER4728315
SCANLON, STEPHEN CAULEYDIRECTOR2219308
SCAPPATOR, CANDACE LYNNFINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER4697607

Disclosures

Arbitration1

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

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900Charlotte, NC 28262

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