Rafael De Oliveira

LPL ENTERPRISE

Phoenix, AZ 85016

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CRD#: 6473510

Professional summary

Rafael De Oliveira, who also goes by Rafael Galvao De Oliveira, Rafael G De Oliveira, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Phoenix, Arizona.

Rafael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Rafael has worked at 8 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rafael Galvao De Oliveira | Rafael G De Oliveira

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) - RIA

Click below to view Rafael De Oliveira's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Rafael De Oliveira'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®

None

Experience

Current

January 21, 2026 - Present

LPL ENTERPRISE, LLC

Office #1: 2325 East Camelback Road Suite 100, Phoenix, AZ 85016

RIA

CRD#: 8733

Phoenix, AZ

Current

January 21, 2026 - Present

LPL ENTERPRISE, LLC

Office #1: 2325 East Camelback Road Suite 100, Phoenix, AZ 85016

RIA

CRD#: 8733

Phoenix, AZ

Past

November 19, 2025 - January 29, 2026

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

PHOENIX, AZ

Past

November 18, 2025 - January 29, 2026

PRINCIPAL SECURITIES, INC.

CRD#: 1137

PHOENIX, AZ

Past

March 19, 2025 - October 17, 2025

STRATEGIC WEALTH INVESTMENT GROUP, LLC

RIA

CRD#: 165474

Peoria, AZ

Past

August 1, 2024 - February 25, 2025

PRINCIPAL SECURITIES, INC.

CRD#: 1137

PHOENIX, AZ

Past

July 31, 2024 - February 25, 2025

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

PHOENIX, AZ

Past

December 8, 2022 - July 1, 2024

FISHER INVESTMENTS

RIA

CRD#: 107342

Mesa, AZ

Past

September 2, 2021 - September 16, 2022

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Phoenix, AZ

Past

July 28, 2021 - September 16, 2022

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Phoenix, AZ

Past

February 14, 2018 - July 15, 2021

FISHER INVESTMENTS

RIA

CRD#: 107342

PLANO, TX

Past

February 6, 2017 - February 5, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

TEMPE, AZ

Past

February 6, 2017 - February 5, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

TEMPE, AZ

Past

March 11, 2016 - January 30, 2017

TD AMERITRADE, INC.

RIA

CRD#: 7870

DRAPER, UT

Past

March 11, 2016 - January 30, 2017

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Draper, UT

Past

March 11, 2016 - January 30, 2017

TD AMERITRADE, INC.

CRD#: 7870

DRAPER, UT

Past

October 29, 2015 - March 3, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHANDLER, AZ

Past

September 14, 2015 - March 3, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHANDLER, AZ

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".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

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

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Arizona
(1/21/2026)

IAR

Arizona
(1/29/2026)

California
(1/21/2026)

Oregon
(1/21/2026)

Texas
(1/21/2026)

IAR

Texas
(1/21/2026)

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

Series 63

Date: 9/23/2021

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/28/2015

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/2/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/5/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/11/2015

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

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

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORNINGSTAR, MATTHEW EDWIN	CHIEF LEGAL OFFICER	2510742
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	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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Advisor Monitoring

Firm Stability Insights

Rafael De Oliveira

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rafael De Oliveira's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Rafael De Oliveira's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

STRATEGIC WEALTH INVESTMENT GROUP, LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

FISHER INVESTMENTS

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

FISHER INVESTMENTS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/23/2021

Series 66

Date: 10/28/2015

Series 7TO

Date: 9/2/2021

SIE

Date: 2/5/2018

Series 7

Date: 9/11/2015

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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