Rafael A Cruz

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (3)

SIESeries 7Series 66

Registered states (3)

Florida · New York · Virginia

Years in the industry (source record)

21

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

Current firm

From the firm record

Firm

Charles Schwab & Co., Inc.

Firm CRD

5393

SEC number

801-29938

Assets under management

Not yet retrieved from the source record

Website

www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗

Phone

415-667-7000

Firm location

San Francisco, CA, 94105

Employment history (28)

From the source registration record · current first

• Charles Schwab & Co., Inc.Current

  Plantation, FL · BC capacity
  start not retrieved → present
• Charles Schwab & Co., Inc.Current

  Plantation, FL · IA capacity
  start not retrieved → present
• Charles Schwab & Co., Inc.Current

  Plantation, FL · IA capacity
  start not retrieved → present
• Citizens Securities, Inc.

  Naples, FL · IA capacity
  Sep 21, 2023 → Mar 9, 2026
• Citizens Securities, Inc.

  Naples, FL · BC capacity
  Sep 20, 2023 → Mar 9, 2026
• Citizens Private Wealth

  Fort Lauderdale, FL · IA capacity
  Nov 7, 2023 → Jun 12, 2025
• Santander Securities

  Miami, FL · IA capacity
  Jun 13, 2022 → Sep 11, 2023
• Santander Securities LLC

  Miami, FL · BC capacity
  Jun 10, 2022 → Sep 11, 2023
• Amerant Investments, Inc.

  Coral Gables, FL · IA capacity
  Nov 7, 2019 → Apr 12, 2022
• Amerant Investments, Inc.

  Coral Gables, FL · BC capacity
  Oct 4, 2019 → Apr 12, 2022
• Td Ameritrade Investment Management, LLC

  Coral Gables, FL · IA capacity
  Aug 26, 2015 → Oct 8, 2019
• Td Ameritrade, Inc.

  Coral Gables, FL · BC capacity
  Jul 22, 2015 → Oct 8, 2019
• Td Ameritrade, Inc.

  Coral Gables, FL · IA capacity
  Jul 15, 2015 → Oct 8, 2019
• Clark Dodge & Co., Inc.

  Hollywood, FL · BC capacity
  Dec 10, 2014 → Apr 27, 2015
• Rockwell Global Capital LLC

  Hollywood, FL · BC capacity
  Sep 15, 2014 → Dec 10, 2014
• Global Arena Capital Corp

  Hollywood, FL · BC capacity
  Jul 28, 2014 → Sep 16, 2014
• J.P. Morgan Securities LLC

  Sunny Isles Beach, FL · IA capacity
  Oct 1, 2012 → Dec 11, 2013
• J.P. Morgan Securities LLC

  Sunny Isles Beach, FL · BC capacity
  Oct 1, 2012 → Dec 11, 2013
• Chase Investment Services Corp.

  Sunny Isles Beach, FL · IA capacity
  Oct 20, 2009 → Oct 1, 2012
• Chase Investment Services Corp.

  Sunny Isles Beach, FL · BC capacity
  Sep 11, 2009 → Oct 1, 2012
• Lpl Financial Corporation

  Aventura, FL · IA capacity
  Jun 23, 2009 → Jul 21, 2009
• Lpl Financial Corporation

  Aventura, FL · BC capacity
  Jun 17, 2009 → Jul 21, 2009
• Banc Of America Investment Services, Inc.

  Miami, FL · IA capacity
  Nov 29, 2006 → Mar 26, 2009
• Banc Of America Investment Services, Inc.

  Miami, FL · BC capacity
  Nov 8, 2006 → Mar 26, 2009
• Metropolitan Life Insurance Company

  Coral Gables, FL · BC capacity
  Mar 22, 2005 → Nov 16, 2006
• Metlife Securities Inc.

  Latham, NY · BC capacity
  Mar 22, 2005 → Nov 16, 2006
• Ids Life Insurance Company

  Minneapolis, MN · BC capacity
  Oct 3, 2003 → Jan 27, 2005
• American Express Financial Advisors Inc.

  Minneapolis, MN · BC capacity
  Oct 3, 2003 → Jan 27, 2005

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.