Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew Robert Raggio is an active investment advisor representative in the state of North Carolina. Andrew has been in the financial industry since 1999 and is currently employed by Captrust in Raleigh, NC. Andrew has a variety of experience in the industry, having worked at various firms, including TC2000 Brokerage, Inc., Money Concepts Capital Corp, Ameriprise Financial Services, Inc., Morgan Stanley, Dente & Bomba, LLC, Kellogg Partners Institutional Services LLC, Benjamin & Jerold Brokerage, Inc., Electronic Brokerage Systems, LLC, Battenkill Capital, Inc., McKeon Brothers, LLC, Institutional Direct Inc., A.W. Bertsch, Inc., and E. D. & F. Man International Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
NC
07/15/2015 - Present
Captrust (RALEIGH NC)
NC
09/06/2016 - 10/04/2018
TC2000 BROKERAGE, INC. (WILMINGTON NC)
SC
09/12/2013 - 06/16/2015
MONEY CONCEPTS CAPITAL CORP (MT. PLEASANT SC)
NY
01/08/2013 - 05/02/2013
AMERIPRISE FINANCIAL SERVICES, INC. (MELVILLE NY)
NY
03/16/2012 - 01/23/2013
MORGAN STANLEY (GARDEN CITY NY)
NY
02/03/2011 - 02/01/2012
DENTE & BOMBA, LLC (NEW YORK NY)
NY
03/25/2009 - 12/31/2010
KELLOGG PARTNERS INSTITUTIONAL SERVICES LLC (NEW YORK NY)
NY
08/28/2008 - 04/20/2009
BENJAMIN & JEROLD BROKERAGE, INC. (NEW YORK NY)
IL
05/29/2008 - 01/06/2009
ELECTRONIC BROKERAGE SYSTEMS, LLC (CHICAGO IL)
VT
01/03/2007 - 06/02/2008
BATTENKILL CAPITAL, INC. (MANCHESTER CENTER VT)
NY
05/29/2003 - 01/03/2007
MCKEON BROTHERS, LLC (OYSTER BAY NY)
NY
12/01/2000 - 05/22/2003
INSTITUTIONAL DIRECT INC. (NEW YORK NY)
NY
10/01/2000 - 11/30/2000
A.W. BERTSCH, INC. (NEW YORK NY)
NY
09/20/1996 - 11/13/1998
E. D. & F. MAN INTERNATIONAL INC. (NEW YORK NY)
BOTH
Issued 12/06/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/04/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/27/2023
Series 4 - Registered Options Principal Examination
BC
Issued 11/10/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/05/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/05/2010
Series 14 - Compliance Officer Examination
BC
Issued 02/23/2010
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/21/2010
Series 3 - National Commodity Futures Examination
BC
Issued 05/18/2007
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/01/2000
Series 7 - General Securities Representative Examination
BC
Issued 05/18/1999
Series 25 - NYSE Trading Assistant Examination
Active
Inactive
F
FINRA
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