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RA

Rafael E. Ayala

CREDIT AGRICOLE SECURITIES (USA)
New York, NY 10019
Some features on this profile are disabled
CRD#: 6497272
RA

Professional summary

Rafael Ernesto Iii Ayala III, who also goes by Rafael Ernesto Ayala, Rafael Ernesto Ayala III, Rafael Ayala, is a registered financial professional currently at CREDIT AGRICOLE SECURITIES (USA) INC. located in New York, New York.

Rafael is registered as a RR (Registered Representative) and started their career in finance in 2017. Rafael has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rafael Ernesto Ayala | Rafael Ernesto Ayala Iii | Rafael Ayala

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) - BD

Click below to view Rafael Ernesto Iii Ayala III's 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

November 29, 2024 - Present

CREDIT AGRICOLE SECURITIES (USA) INC.

Office #1: 1301 Avenue Of The Americas 9th Floor, New York, NY 10019
BD
CRD#: 190
New York, NY
Past

September 18, 2017 - November 14, 2024

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
California
(11/29/2024)
RR
Illinois
(11/29/2024)
RR
New Jersey
(11/29/2024)
RR
New York
(11/29/2024)
RR
Texas
(11/29/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 9/20/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/20/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/18/2017
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

CREDIT AGRICOLE SECURITIES (USA) INC.
CREDIT AGRICOLE SECURITIES (USA) INC.
CALYON SECURITIES (USA) INC | EURO PARTNERS SECURITIES CORPORATION | CREDIT LYONNAIS SECURITIES (USA), INC. | CREDIT AGRICOLE SECURITIES (USA) INC. | CL GLOBALPARTNERS SECURITIES CORPORATION | CALYON SECURITIS (USA) INC.

CRD#: 190 / SEC#: , 8-13753

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1301 Avenue Of The Americas - 9th Floor, New York, NY 10019
Mailing Address
1301 Avenue Of The Americas - 9th Floor, New York, NY 10019
Phone number
(212) 261-7000
Established
New York since 01/30/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CREDIT AGRICOLE GLOBAL PARTNERS INC. ("CAGPI")SHAREHOLDER
ARNAL, CELINEDIRECTOR7247072
GEROLD, MARIA TERESACFO5967881
HETIER, FRANCOIS-EDOUARD MARIE MARCDIRECTOR7817148
KURZ, WILLIAM FRANKMEMBER OF THE BOARD OF DIRECTORS AND COO7602164
PUBLIE, STEPHANEINTERIM CEO AND MEMBER OF THE BOARD OF DIRECTORS5978052
YOUN, EDWARD KYUNG-HOCHIEF COMPLIANCE OFFICER6723958
ZAFAR, KASHIFMANAGING DIRECTOR2666642

Disclosures

Regulatory Event18

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.

Company Information

CREDIT AGRICOLE SECURITIES (USA) INC.

CREDIT AGRICOLE SECURITIES (USA) INC.

CRD#: 190New York, NY 10019

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