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Detailed Report
Rafael A Cruz
RAFAEL ABEL CRUZ
CRD#: 4659566
IA
Investment Adviser
B
Broker
CLARFELDCRD#: 106743 350 E. LAS OLAS BLVD. MS: FL012
MS: FL012
FORT LAUDERDALE, FL 33301
CITIZENS SECURITIES, INC.CRD#: 39550 350 E. LAS OLAS BLVD.
MS: FL012
FORT LAUDERDALE, FL 33301
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2003 - 2005 (1 year)2 FIRMS2005 - 2006 (1 year)2 FIRMS2006 - 2009 (2 years)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - 2012 (3 years)2 FIRMS2012 - 2013 (1 year)2 FIRMS2014 - 2014 (<1 year)3 FIRMS2015 - 2019 (4 years)2 FIRMS2019 - 2022 (2 years)2 FIRMS2022 - 2023 (1 year)3 FIRMS2023 - Present (1 year)BCLARK DODGE & CO., INC. (CRD# 23288)2014 - 2015 (<1 year)
Disclosure(s)
View By:
11/14/2013
Employment Separation After Allegations
5/21/2012
Customer Dispute
Denied
License(s)

State Registrations

B
Connecticut 2/13/2025
B
New Hampshire 2/18/2025
IA
Connecticut 2/14/2025
IA
New Hampshire 2/18/2025
B
Delaware 2/9/2024
B
New Jersey 2/13/2025
IA
Delaware 2/9/2024
IA
New Jersey 2/13/2025
B
District of Columbia 2/20/2025
B
New York 11/27/2023
B
Florida 9/20/2023
IA
New York 11/27/2023
IA
Florida 9/21/2023
B
Pennsylvania 2/14/2025
B
Georgia 2/12/2024
IA
Pennsylvania 2/20/2025
IA
Georgia 2/12/2024
B
Rhode Island 2/14/2025
B
Massachusetts 3/5/2025
IA
Rhode Island 2/14/2025

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CLARFELD (CRD#:106743)
350 E. LAS OLAS BLVD. MS: FL012 MS: FL012, FORT LAUDERDALE, FL 33301
Registered with this firm since 11/7/2023
IA
CITIZENS SECURITIES, INC. (CRD#:39550)
350 E. LAS OLAS BLVD. MS: FL012, FORT LAUDERDALE, FL 33301
560 9th Street, Naples, FL 34102
Registered with this firm since 9/21/2023
B
CITIZENS SECURITIES, INC. (CRD#:39550)
350 E. LAS OLAS BLVD. MS: FL012, FORT LAUDERDALE, FL 33301
560 9th Street, Naples, FL 34102
Registered with this firm since 9/20/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/13/2022 - 09/11/2023 SANTANDER SECURITIES (CRD#:41791) Miami, FL
B
 06/10/2022 - 09/11/2023 SANTANDER SECURITIES LLC (CRD#:41791) Miami, FL
IA
 11/07/2019 - 04/12/2022 AMERANT INVESTMENTS, INC. (CRD#:117284) CORAL GABLES, FL
B
 10/04/2019 - 04/12/2022 AMERANT INVESTMENTS, INC. (CRD#:117284) CORAL GABLES, FL
IA
 08/26/2015 - 10/08/2019 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) CORAL GABLES, FL
IA
 07/15/2015 - 10/08/2019 TD AMERITRADE, INC. (CRD#:7870) CORAL GABLES, FL
B
 07/22/2015 - 10/08/2019 TD AMERITRADE, INC. (CRD#:7870) CORAL GABLES, FL
B
 12/10/2014 - 04/27/2015 CLARK DODGE & CO., INC. (CRD#:23288) Hollywood, FL
B
 09/15/2014 - 12/10/2014 ROCKWELL GLOBAL CAPITAL LLC (CRD#:142485) Hollywood, FL
B
 07/28/2014 - 09/16/2014 GLOBAL ARENA CAPITAL CORP (CRD#:16871)
FINRA expelled the firm on 01/04/2016
HOLLYWOOD, FL
IA
 10/01/2012 - 12/11/2013 J.P. MORGAN SECURITIES LLC (CRD#:79) SUNNY ISLES BEACH, FL
B
 10/01/2012 - 12/11/2013 J.P. MORGAN SECURITIES LLC (CRD#:79) SUNNY ISLES BEACH, FL
IA
 10/20/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) SUNNY ISLES BEACH, FL
B
 09/11/2009 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) SUNNY ISLES BEACH, FL
IA
 06/23/2009 - 07/21/2009 LPL FINANCIAL CORPORATION (CRD#:6413) AVENTURA, FL
B
 06/17/2009 - 07/21/2009 LPL FINANCIAL CORPORATION (CRD#:6413) AVENTURA, FL
IA
 11/29/2006 - 03/26/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) MIAMI, FL
B
 11/08/2006 - 03/26/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) MIAMI, FL
B
 03/22/2005 - 11/16/2006 METLIFE SECURITIES INC. (CRD#:14251) LATHAM, NY
B
 03/22/2005 - 11/16/2006 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) CORAL GABLES, FL
B
 10/03/2003 - 01/27/2005 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 10/03/2003 - 01/27/2005 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.