Charles P. Ragusa
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.
Charles Philip Ragusa, who also goes by Charlie Philip Ragusa, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1999. Charles had worked at 3 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2007 - September 16, 2019
HARBOR FUNDS DISTRIBUTORS, INC.
December 12, 2005 - May 25, 2007
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
December 14, 1999 - October 17, 2005
NATIXIS DISTRIBUTION, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
HARBOR FUNDS DISTRIBUTORS, INC.
CRD#: 113506 / SEC#: , 8-53339
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
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.
