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RM

Rafael Montoya Haro

MORGAN WILSHIRE SECURITIES
Garden City, NY 11530
Some features on this profile are disabled
CRD#: 7976198
RM

Professional summary

Rafael Montoya Haro is a registered financial professional currently at MORGAN WILSHIRE SECURITIES, INC. located in Garden City, New York.

Rafael is registered as a RR (Registered Representative) and started their career in finance in 2025. Rafael has worked at 1 firm and has passed the Series 57TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Montoya Haro'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

May 7, 2025 - Present

MORGAN WILSHIRE SECURITIES, INC.

Office #1: 59 Hilton Ave Suite 101, Garden City, NY 11530
BD
CRD#: 44807
Garden City, NY

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.

Exams

General Industry/Product Exam
RR
Series 57TO
Date: 10/3/2024
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 7/27/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

MW
MORGAN WILSHIRE SECURITIES, INC.
MORGAN WILSHIRE SECURITIES INC. | MORGAN WILSHIRE SECURITIES, INC.

CRD#: 44807 / SEC#: , 8-50831

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
59 Hilton Ave Suite 101, Garden City, NY 11530
Mailing Address
59 Hilton Ave Suite 101, Garden City, NY 11530
Phone number
(516) 622-3100
Established
Delaware since 07/11/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FINNAN, MICHAEL JOHNCHIEF COMPLIANCE OFFICER; PRESIDENT; DIRECTOR; SHAREHOLDER.2311960
METZ, PAUL JOHNCHIEF EXECUTIVE OFFICER; SECETARY; DIRECTOR; SHAREHOLDER2443570
MAHER, EDWARD CHARLESHEAD TRADER; SROP; CROP, FINOP1431387

Disclosures

Regulatory Event9
Arbitration4

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

MORGAN WILSHIRE SECURITIES, INC.

CRD#: 44807Garden City, NY 11530

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