David Raphael, financial advisor Chandler AZ
76 score

David Raphael

CRD Number: 6226142
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

David Raphael (CRD# 6226142) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Chandler, AZ and has over 2 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chandler, AZ Mar 2015 - Current 1
Liberty Tax Service Mesa, AZ Feb 2015 - Feb 2015 < 1
Edward Jones St Louis, MO Apr 2014 - Jan 2015 < 1
Unemployed Phoenix, AZ Jan 2014 - Apr 2014 < 1
Wealth Management Solutions, LLC Scottsdale, AZ Jul 2013 - Jan 2014 < 1
Sobelman, Cohen, Moss, And Associates, LLC Woodland Hills, CA Dec 2011 - Jun 2013 1
Liberty Tax Service Mesa, AZ Jan 2010 - Apr 2012 2
Unemployed Phoenix, AZ Oct 2008 - Jan 2010 1
Tebo Planet Architecture, LLC Phoenix, AZ Dec 2007 - Oct 2008 < 1
Borm Associates, LLC Phoenix, AZ Jul 2007 - Nov 2007 < 1
Montalbano Homes Of Arizona, LLC Scottsdale, AZ Dec 2004 - Jul 2007 2
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jul 2014
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for David P. Raphael
Phone Number: 800-637-7455
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
76

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