Rachel E. Carafotes
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Rachel Elizabeth Carafotes, who also goes by Rachel Elizabeth Carafotes, Rachel Carafotes, Rachel E Carafotes, was a registered financial professional .
Rachel is a previously registered financial professional and started their career in finance in 2013. Rachel had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2026 - July 6, 2026
FIRST COMMAND ADVISORY SERVICES
May 19, 2026 - July 6, 2026
FIRST COMMAND BROKERAGE SERVICES, INC.
November 13, 2023 - March 18, 2026
J.P. MORGAN SECURITIES LLC
November 13, 2023 - March 18, 2026
J.P. MORGAN SECURITIES LLC
August 4, 2021 - November 6, 2023
CITIGROUP GLOBAL MARKETS INC.
August 4, 2021 - November 6, 2023
CITIGROUP GLOBAL MARKETS INC.
June 24, 2021 - July 22, 2021
WELLS FARGO CLEARING SERVICES, LLC
November 27, 2013 - July 22, 2021
WELLS FARGO CLEARING SERVICES, LLC
August 1, 2013 - October 30, 2013
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 113,591 |
| AUM (Assets Under Management) | $ 24,429,418,155 |
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.
