Rafael A. Jimenez
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 Alejandro Jimenez, who also goes by Rafael A Jimenez, was a registered financial professional .
Rafael is a previously registered financial professional and started their career in finance in 2016. Rafael had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2022 - April 3, 2023
CNR SECURITIES, LLC
January 26, 2022 - April 3, 2023
CITY NATIONAL ROCHDALE
January 18, 2018 - December 3, 2021
MORGAN STANLEY
January 18, 2018 - December 3, 2021
MORGAN STANLEY
July 7, 2017 - August 31, 2017
CETERA WEALTH SERVICES, LLC
December 22, 2016 - August 31, 2017
CETERA WEALTH SERVICES, LLC
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
CNR SECURITIES, LLC
CRD#: 18466 / SEC#: , 8-36759
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITY NATIONAL ROCHDALE HOLDINGS, LLC | MANAGING MEMBER / 100% OWNER | |
| BANUELOS, ALMA DELIA | BOARD DIRECTOR | 4530705 |
| BARTON, RICHARD JOSEPH | CHIEF COMPLIANCE OFFICER | 2040869 |
| CEPLER, MITCHELL DANIEL | CFO AND FINOP | 4554270 |
| DANIEL, JOBY SWANKUTTY | BOARD DIRECTOR | 6616727 |
| GIAQUINTO, GREGG | PRESIDENT, CEO, & BOARD DIRECTOR | 3182583 |
| O'KEEFFE, IVOR PATRICK | BOARD DIRECTOR | 2397120 |
| RILEY, SHAWN DAVID | BOARD DIRECTOR | 8157413 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
