Andre P. Ratkai

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CRD#: 1218241

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Andre Phillip Ratkai, who also goes by Andy Rakai, Andy Ratkai, was a registered financial professional .

Andre is a previously registered financial professional and started their career in finance in 1983. Andre had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Andy Rakai | Andy Ratkai

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 2, 2023 - April 23, 2024

NORTHSTAR FINANCIAL COMPANIES, INC.

RIA

CRD#: 119396

Lakewood, CO

Past

January 1, 1999 - April 10, 2023

PRAXIS ADVISORY GROUP INC

RIA

CRD#: 107384

Centennial, CO

Past

March 13, 1989 - March 3, 1992

ALPINE BROKER SERVICES CORP.

CRD#: 17941

Past

July 12, 1988 - January 24, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

August 12, 1987 - April 19, 1988

PROFESSIONAL BROKERAGE SERVICES INC.

CRD#: 7998

Past

December 22, 1983 - August 25, 1987

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NORTHSTAR FINANCIAL COMPANIES, INC.

CRD#: 119396 / SEC#: 801-115004

RIA

Registered Investment Advisory firm - (4/12/2019 Approved)

Colorado

Registered Investment Advisory firm - (4/24/2019 Terminated)

Connecticut

Registered Investment Advisory firm - (4/23/2019 Terminated)

Delaware

Registered Investment Advisory firm - (12/31/2005 Terminated)

Florida

Registered Investment Advisory firm - (4/22/2019 Terminated)

Massachusetts

Registered Investment Advisory firm - (4/22/2019 Terminated)

New Hampshire

Registered Investment Advisory firm - (5/15/2019 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/22/2019 Terminated)

Rhode Island

Registered Investment Advisory firm - (4/22/2019 Terminated)

Texas

Registered Investment Advisory firm - (4/22/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/19/1990

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/25/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/17/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/19/1990

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 4/18/1984

Municipal Securities Principal Examination

Current Firm

NORTHSTAR FINANCIAL COMPANIES, INC.

CRD#: 119396 / SEC#: 801-115004

RIA

Registered Investment Advisory firm - (4/12/2019 Approved)

Colorado

Registered Investment Advisory firm - (4/24/2019 Terminated)

Connecticut

Registered Investment Advisory firm - (4/23/2019 Terminated)

Delaware

Registered Investment Advisory firm - (12/31/2005 Terminated)

Florida

Registered Investment Advisory firm - (4/22/2019 Terminated)

Massachusetts

Registered Investment Advisory firm - (4/22/2019 Terminated)

New Hampshire

Registered Investment Advisory firm - (5/15/2019 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/22/2019 Terminated)

Rhode Island

Registered Investment Advisory firm - (4/22/2019 Terminated)

Texas

Registered Investment Advisory firm - (4/22/2019 Terminated)

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Contact information

Main Address

1201 E. Hector St, Conshohocken, PA 19428

Mailing Address

Phone number

(610) 629-6100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE (3/13/2025)

NORTHSTAR NEW PART 2A (3/13/2025)

Regulatory assets under management

Total Number of Accounts	1,303
AUM (Assets Under Management)	$ 443,347,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Andre P. Ratkai

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRAXIS ADVISORY GROUP INC

ALPINE BROKER SERVICES CORP.

INTEGRATED RESOURCES EQUITY CORPORATION

PROFESSIONAL BROKERAGE SERVICES INC.

INTEGRATED RESOURCES EQUITY CORPORATION

Primary Firm SEC Registration

NORTHSTAR FINANCIAL COMPANIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/19/1990

Series 63

Date: 2/25/1986

Series 7

Date: 12/17/1983

Series 24

Date: 3/19/1990

Series 53

Date: 4/18/1984

Current Firm

NORTHSTAR FINANCIAL COMPANIES, INC.

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTHSTAR FINANCIAL COMPANIES, INC.

TRUST BUT VERIFY

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