Rafael Beck
Professional Summary
Rafael Beck is a registered financial advisor currently at LUMA SECURITIES LLC located in New York, New York and BROOKFIELD PRIVATE WEALTH LLC located in New York, New York. Rafael is registered as a RR (Registered Representative) and started their career in finance in 2010. Rafael has worked at 24 firms and has passed the Series 99TO, Series 7TO, SIE and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
16 years in the financial services industry
Current & Past Employments
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Current Firm
BROOKFIELD SECURITIES LLC
Contact Information
Main Address
225 Liberty Street 8th Floor, New York, NY 10281Mailing Address
225 Liberty Street 8th Floor, New York, NY 10281Phone Number
(212) 978-1737Established
Delaware since 07/13/2023Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Rafael Beck's CRS (Customer Relationship Summary).
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