| Advisor Profile |
 |
| Name: |
Rafael de Vengoechea |
|
|
 |
| Research This Advisor |
|
|
| Request More Information |
|
|
|
|
|
|
Business Description |
| Our objective is to design personalized investment strategies that can help you meet your long-term financial goals. Through our portfolio managment program our clients have access to a customized portfolio management service that once were only available to large institutions and ultra-high-net-worth individuals. Acting as your portfolio manager, approved to construct and manage customized strategies using our Earnings Revision Model ERM approach, we can provide invaluable resourses in managing your assets and helping you understand the inherent risks in the market and in your portfolio. |
|
| |
|
|
General Information |
|
|
|
|
|
|
| Insurance License#: |
0C84852
|
|
| Name of Broker/Dealer: |
Morgan Stanley Smith Barney
|
|
| Name of Custodial Firm: |
Citigroup Global Markets
|
|
| States Licensed in: |
AZ,CA,CO,CT,FL,ID,MD,MO,NC,NJ,NY,OK,SC,SD,TN,TX,VT,WA
|
|
| States Willing to do Business in: |
AZ,CA,CO,CT,FL,ID,MD,MO,NC,NJ,NY,OK,SC,SD,TN,TX,VT,WA
|
|
| Years of Experience in Financial Services: |
12
|
|
| Number of Years with Current Firm: |
4
|
|
| Work Experience: |
2007- Present: Morgan Stanley Smith Barney, Vice President, Portfolio Management Director
1999-2007: Merrill Lynch, Assistant Vice President, Financial Advisor, CFM
|
|
| I work with the following types of clients: |
Institutions, Individual Investors
|
|
| Foreign Languages Serviced: |
Spanish
|
|
| |
|
Education |
| Academic Background |
| |
| BA- International Affairs, Economics Minor, 1996, University of Colorado Boulder |
|
| |
|
Services |
| Investment Types: |
Equity Specialist, Alternative Investments, Exchange Traded Funds (ETFs), Bonds, Stocks, Options & Futures
|
|
| |
|
Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Senior Portfolio Manager
|
|
| Securities Licenses: |
Series 65, Series 31, Series 7, Series 66, Series 3
|
|
| Insurance and Annuity Licenses: |
Long Term Care, Variable Annuity, Life
|
|
| Financial Organization Memberships: |
National Association of Individual Investors
|
|
| |
|
Firm Information |
| Number of Advisors in Office: |
10 - 99 employees
|
|
| I work with clients as part of a team: |
Yes
|
|
| Assets Managed by Advisor: |
94,000,000
|
|
| |
|
Compliance |
| Registered Investment Advisor: |
Yes
|
|
| Registered Representative: |
Yes
|
|
| Investment Advisor Representative: |
Yes
|
|
| Compliance Disclosures in Last 5 years: |
I have a clean record
|
|
| Criminal Disclosures in Last 5 years: |
I have a clean record
|
|
| |
|
Compensation & Fees |
| Fee Structure: |
I am a fee-based financial professional
|
|
| Minimum Portfolio Size for New Managed Accounts: |
$100,000
|
|
| Compensation Methods: |
Based on Assets
|
|
| |
|
| |
| |
| Prepared By: |
Rafael de Vengoechea |
|
|
