Rafael De Oliveira

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CRD#: 6473510

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.

Rafael De Oliveira, who also goes by Rafael Galvao De Oliveira, Rafael G De Oliveira, was a registered financial professional .

Rafael is a previously registered financial professional and started their career in finance in 2015. Rafael had worked at 7 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

**LUA EMPIRE LLC POSITION: Owner NATURE: Owner of LLC INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 08/31/2024 ADDRESS: 9541 E Spiral Ave, Mesa AZ 85212, United States DESCRIPTION: I am the owner and president of Lua. My role is to speak in Portuguese with our Brazilian distributers to make sure shipment went through. Lua is a drop shipping company sending a Brazilian liquor drink from Brazil, directly into distributer wholesalers (like BevMo). We'll only be dealing with big companies only and not individuals or small companies.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

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".

STRATEGIC WEALTH INVESTMENT GROUP, LLC

STRATEGIC WEALTH DESIGNERS | STRATEGIC WEALTH INVESTMENT GROUP, LLC | STRATEGIC WEALTH DESIGNERS, LLC

CRD#: 165474 / SEC#: 801-117642

RIA

Registered Investment Advisory firm - (11/14/2019 Approved)

Indiana

Registered Investment Advisory firm - (11/20/2019 Terminated)

Kentucky

Registered Investment Advisory firm - (11/25/2019 Terminated)

Ohio

Registered Investment Advisory firm - (11/20/2019 Terminated)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

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

Current Firm

STRATEGIC WEALTH INVESTMENT GROUP, LLC

STRATEGIC WEALTH DESIGNERS | STRATEGIC WEALTH INVESTMENT GROUP, LLC | STRATEGIC WEALTH DESIGNERS, LLC

CRD#: 165474 / SEC#: 801-117642

RIA

Registered Investment Advisory firm - (11/14/2019 Approved)

Indiana

Registered Investment Advisory firm - (11/20/2019 Terminated)

Kentucky

Registered Investment Advisory firm - (11/25/2019 Terminated)

Ohio

Registered Investment Advisory firm - (11/20/2019 Terminated)

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Contact information

Main Address

Louisville, KY

Mailing Address

Phone number

(502) 412-3354

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (9/30/2025)

Regulatory assets under management

Total Number of Accounts	7,626
AUM (Assets Under Management)	$ 1,110,956,980

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)

Certified licenses

Experience

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

STRATEGIC WEALTH INVESTMENT GROUP, 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

Current Firm

STRATEGIC WEALTH INVESTMENT GROUP, LLC

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STRATEGIC WEALTH INVESTMENT GROUP, LLC

TRUST BUT VERIFY

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