Raquel Austin is a registered investment advisor, based in Roseville, CA, with 22 years of industry experience. Raquel is also registered as a broker, so some compensation may come from commissions on products sold.
Location
151 N Sunrise Ave. Ste. 1303, Roseville, CA, 95661
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Regulatory History (3)
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Financial
August 2026Final
Judgment / Lien
May 2011Criminal
April 2006Final Disposition
Employment History
Current Registrations
Cambridge Investment Research, INC.Broker
September 2026 - Present · 1 mo
Cambridge Investment Research, INC.
September 2026 - Present · 1 mo
Cambridge Investment Research Advisors, INC.
September 2026 - Present · 1 mo
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 2008 - January 2026 · 17 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
April 2008 - January 2026 · 17 yrs 9 mos
Morgan Stanley & CO. Incorporated
January 2005 - April 2008 · 3 yrs 3 mos
Morgan Stanley & CO. IncorporatedBroker
June 2003 - April 2008 · 4 yrs 10 mos
State Registrations1 state
CA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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