Razvan C. Raicu
Professional summary
Razvan Christian Raicu JR., CFP®, who also goes by Razvan C Raicu, is a registered financial advisor currently at SP ASSET MANAGEMENT LLC located in Mission Viejo, California.
Razvan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Razvan has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Razvan Christian Raicu JR.'s CRS (Customer Relationship Summary).
Certified licenses
Start date: 2017
Experience
October 28, 2024 - Present
SP ASSET MANAGEMENT LLC
August 21, 2020 - November 1, 2024
MORGAN STANLEY
August 21, 2020 - November 1, 2024
MORGAN STANLEY
May 24, 2017 - August 26, 2020
WELLS FARGO CLEARING SERVICES, LLC
July 21, 2014 - August 26, 2020
WELLS FARGO CLEARING SERVICES, LLC
June 10, 2011 - February 25, 2013
LPL FINANCIAL LLC
Primary Firm SEC Registration
SP ASSET MANAGEMENT LLC
CRD#: 323369 / SEC#: 801-126698
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/28/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SP ASSET MANAGEMENT LLC
CRD#: 323369 / SEC#: 801-126698
Contact information
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 808 |
| AUM (Assets Under Management) | $ 1,710,556,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 02/27/2024 | ||
| 01/30/2023 |
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.
