Rafael A. Svelti

FIRST CITIZENS INVESTOR SERVICES

Boston, MA 02109

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CRD#: 5747033

Professional summary

Rafael A. Svelti, CFP®, who also goes by Rafael A Svelti, Rafael Antonio Svelti, is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in Boston, Massachusetts and SVB WEALTH located in Boston, Massachusetts.

Rafael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Rafael has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rafael A Svelti | Rafael Antonio Svelti

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.

SVB Wealth, 53 State St, 82th Floor, Boston, MA 02109; SVBW is an affiliated IA Firm. Duties are managing portfolios and securities on the SVB RIA platform. Began 10/17/25; 40 hr/month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rafael A. Svelti's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Current

June 5, 2025 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 53 State St 28th Floor, Boston, MA 02109

RIA

CRD#: 44430

Boston, MA

Current

November 4, 2025 - Present

SVB WEALTH

Office #1: 53 State Street, Boston, MA 02109

RIA

CRD#: 172832

Boston, MA

Current

May 28, 2025 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 53 State St 28th Floor, Boston, MA 02109

RIA

CRD#: 44430

Boston, MA

Past

November 1, 2023 - April 30, 2025

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

LOWELL, MA

Past

October 31, 2023 - April 30, 2025

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

LOWELL, MA

Past

August 10, 2022 - August 29, 2023

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

Boston, MA

Past

August 10, 2022 - August 29, 2023

J.P. MORGAN SECURITIES LLC

CRD#: 79

Boston, MA

Past

March 2, 2022 - July 13, 2022

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

MEDFORD, MA

Past

September 14, 2021 - July 13, 2022

CITIZENS SECURITIES, INC.

CRD#: 39550

MEDFORD, MA

Past

September 8, 2021 - November 30, 2021

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

MEDFORD, MA

Past

September 6, 2019 - July 13, 2022

CITIZENS PRIVATE WEALTH

RIA

CRD#: 106743

MEDFORD, MA

Past

March 6, 2017 - January 8, 2020

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

MEDFORD, MA

Past

November 19, 2015 - January 8, 2020

CITIZENS SECURITIES, INC.

CRD#: 39550

MEDFORD, MA

Past

April 28, 2015 - August 19, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

NEW YORK, NY

Past

October 11, 2012 - August 19, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

NEW YORK, NY

Past

October 1, 2012 - October 5, 2012

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

February 3, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Massachusetts
(5/28/2025)

IAR

Massachusetts
(6/5/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/3/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/18/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/16/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/2/2010

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 Approved)

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Contact information

Main Address

53 State Street 28th Floor, Boston, MA 02109

Mailing Address

Po Box 27131, Raleigh, NC 27611

Phone number

(617) 223-0200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SVB WEALTH LLC (3/30/2025)

SVB WEALTH LLC APPENDIX 1/ WRAP BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts	3,739
AUM (Assets Under Management)	$ 4,983,411,995

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/21/2025	Cover Page	Report
09/20/2024	Cover Page	Report
10/31/2022	Cover Page	Report

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.

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Firm Stability Insights

Rafael A. Svelti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rafael A. Svelti's CRS (Customer Relationship Summary).

Certified licenses

Experience

SVB WEALTH

FIRST CITIZENS INVESTOR SERVICES, INC.

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

CITIZENS PRIVATE WEALTH

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

SVB WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 3/3/2017

Series 63

Date: 2/18/2010

SIE

Date: 10/1/2018

Series 7

Date: 6/16/2014

Series 6

Date: 2/2/2010

FINRA

Current Firm

SVB WEALTH

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SVB WEALTH

TRUST BUT VERIFY

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