George N. Raftopoulos

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CRD#: 1749955

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.

George Nmn Raftopoulos, CFP®, who also goes by George Raftopoulos, was a registered financial professional .

George is a previously registered financial professional and started their career in finance in 1988. George had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

George Raftopoulos

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.

1. ROI CUBED; NOT INVESTMENT RELATED; TWO INTERNATIONAL DRIVE, SUITE 112, PORTSMOUTH, NH 03801; 2. NIKOLETTA, LLC; NOT INVESTMENT RELATED; 69 YORK STREET, SUITE 1, ME 04043; ENTITY CREATED TO OWN COMMERCIAL CONDOS; LLC MEMBER; 1/1/2013; 0 HOURS, NO ONGOING ACTIVE DUTIES REQUIRED; 3. NVEST FINANCIAL LLC; INVESTMENT RELATED; TWO INTERNATIONAL DRIVE, SUITE 110, PORTSMOUTH, NH 03801; OWNER AND PRESIDENT; 8/2011; APPROXIMATELY 10 HR/WEEK; OVERSEE THE OPERATIONS OF THE COMPANY INCLUDING THE INVESTMENT COMMITTEE. WORK WITH THE CEO IN MAKING MAJOR DECISIONS ABOUT DIRECTION OF THE FIRM. 4. BENTLEY UNIVERSITY; NOT INVESTMENT RELATED; 175 FOREST STREET, WALTHAM, MA 02452; CERTIFIED FINANCIAL PLANNING PROGRAM EDUCATION; ADJUNCT LECTURER; 12/2018; 15 HOURS/WEEK; TEACHES THE CFP PROGRAM. 5. ROPELESS SYSTEMS INC; NOT INVESTMENT RELATED; 6 APOSTOLIC WAY, BIDDEFORD, MA 4005; BUSINESS DEVELOPMENT FOR A MANUFACTURING FIRM THAT DEVELOPS ROPELSS SYSTEM FOR FISHING; OWNER, 10/2020; 1 hr/week; 6. OPERATION LOVE FROM HOME; NOT INVESTMENT RELATED; TWO INTERNATIONAL DRIVE, SUITE 110, PORTSMOUTH, NH 03801; NON PROFIT RAISING MONEY & DONATING ITEMS FOR HOMELESS, FOOD PANTRIES, VETRANS AND ACTIVE MILITARY TROOPS; TREASURER 02/2022; 5 HRS/QUARTER (3 MONTHS).

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®

CFP^®

Certified Financial Planner

Start date: 2003

Experience

Past

October 4, 2013 - September 23, 2022

NVEST FINANCIAL, LLC

RIA

CRD#: 128868

PORTSMOUTH, NH

Past

February 24, 2006 - December 31, 2009

PINNACLE CAPITAL MANAGEMENT, INC.

RIA

CRD#: 133927

BOSTON, MA

Past

July 3, 2001 - May 13, 2016

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

KENNEBUNK, ME

Past

January 18, 1991 - May 13, 2016

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

KENNEBUNK, ME

Past

February 24, 1988 - January 30, 1991

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

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".

NVEST FINANCIAL, LLC

NVEST FINANCIAL GROUP, LLC | SAFE HARBOR RETIREMENT PLANNING, INC | NVEST FINANCIAL, LLC

CRD#: 128868 / SEC#: 801-123374

RIA

Registered Investment Advisory firm - (3/4/2022 Approved)

Maine

Registered Investment Advisory firm - (3/14/2022 Terminated)

Massachusetts

Registered Investment Advisory firm - (3/11/2022 Terminated)

New Hampshire

Registered Investment Advisory firm - (3/25/2022 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: 3/8/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/18/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/13/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/20/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/12/2001

General Securities Principal Examination

Current Firm

NVEST FINANCIAL, LLC

NVEST FINANCIAL GROUP, LLC | SAFE HARBOR RETIREMENT PLANNING, INC | NVEST FINANCIAL, LLC

CRD#: 128868 / SEC#: 801-123374

RIA

Registered Investment Advisory firm - (3/4/2022 Approved)

Maine

Registered Investment Advisory firm - (3/14/2022 Terminated)

Massachusetts

Registered Investment Advisory firm - (3/11/2022 Terminated)

New Hampshire

Registered Investment Advisory firm - (3/25/2022 Terminated)

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Contact information

Main Address

Two International Drive Suite 110, Portsmouth, NH 03801

Mailing Address

Phone number

(207) 985-8585

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 ADV PART 2A BROCHURE (8/14/2025)

Regulatory assets under management

Total Number of Accounts	1,244
AUM (Assets Under Management)	$ 523,359,300

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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Firm Stability Insights

George N. Raftopoulos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PINNACLE CAPITAL MANAGEMENT, INC.

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

VP DISTRIBUTORS LLC

Primary Firm SEC Registration

NVEST FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/8/2001

Series 63

Date: 12/18/1987

SIE

Date: 5/13/2016

Series 7

Date: 2/20/1988

Series 24

Date: 1/12/2001

Current Firm

NVEST FINANCIAL, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NVEST FINANCIAL, LLC

TRUST BUT VERIFY

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