John Paul Raflo

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CRD#: 3032491

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.

John Paul Raflo, who also goes by John Paul Raflo, John Paul Raflo, Johnpaul Raflo, Jp Raflo, was a registered financial professional .

John Paul is a previously registered financial professional and started their career in finance in 1998. John Paul had worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John Paul Raflo | John Paul Raflo | Johnpaul Raflo | Jp Raflo

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

June 27, 2025 - November 5, 2025

FISHER INVESTMENTS

RIA

CRD#: 107342

Gainesville, VA

Past

May 15, 2025 - June 3, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

FAIRFAX, VA

Past

May 15, 2025 - June 3, 2025

LPL FINANCIAL LLC

CRD#: 6413

FAIRFAX, VA

Past

November 4, 2024 - May 15, 2025

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

FAIRFAX, VA

Past

November 4, 2024 - May 15, 2025

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

FAIRFAX, VA

Past

December 19, 2023 - April 16, 2024

ADVISORS ASSET MANAGEMENT, INC.

RIA

CRD#: 46727

Gainesville, VA

Past

September 18, 2023 - April 16, 2024

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

MONUMENT, CO

Past

August 8, 2019 - December 31, 2022

DAVIS DISTRIBUTORS, LLC

CRD#: 7975

NEW YORK, NY

Past

September 17, 2014 - July 18, 2019

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

February 3, 2012 - February 24, 2014

AMERICAN CENTURY INVESTMENT SERVICES INC.

CRD#: 17437

KANSAS CITY, MO

Past

February 3, 2009 - January 24, 2012

SENTINEL FINANCIAL SERVICES COMPANY

CRD#: 31175

MONTPELIER, VT

Past

May 21, 2003 - January 26, 2009

IVY DISTRIBUTORS, INC.

CRD#: 16496

OVERLAND PARK, KS

Past

January 22, 2001 - January 26, 2009

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

October 1, 2000 - December 22, 2000

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

September 20, 1999 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

April 6, 1998 - July 14, 1999

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

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".

FISHER INVESTMENTS

FISHER ASSET MANAGEMENT, LLC | FISHER INVESTMENTS,INC. | FISHER INVESTMENTS

CRD#: 107342 / SEC#: 801-29362

RIA

Registered Investment Advisory firm - (3/26/1987 Approved)

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: 12/19/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/7/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/27/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/3/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FISHER INVESTMENTS

FISHER ASSET MANAGEMENT, LLC | FISHER INVESTMENTS,INC. | FISHER INVESTMENTS

CRD#: 107342 / SEC#: 801-29362

RIA

Registered Investment Advisory firm - (3/26/1987 Approved)

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Contact information

Main Address

6500 International Pkwy Ste 2050, Plano, TX 75093-8222

Mailing Address

Phone number

(800) 851-8845

Established

Firm type

Fiscal year end

# of Employees

4,065

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PRIVATE CLIENT (9/10/2025)

CANADA PRIVATE CLIENT (2/5/2025)

UNITED KINGDOM PRIVATE CLIENT (2/5/2025)

INSTITUTIONAL (2/5/2025)

Regulatory assets under management

Total Number of Accounts	360,116
AUM (Assets Under Management)	$ 298,729,428,900

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

John Paul Raflo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

ADVISORS ASSET MANAGEMENT, INC.

ADVISORS ASSET MANAGEMENT, INC.

DAVIS DISTRIBUTORS, LLC

NORTHERN LIGHTS DISTRIBUTORS, LLC

AMERICAN CENTURY INVESTMENT SERVICES INC.

SENTINEL FINANCIAL SERVICES COMPANY

IVY DISTRIBUTORS, INC.

WADDELL & REED

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

FISHER INVESTMENTS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/19/2023

Series 63

Date: 10/7/2005

Series 7TO

Date: 9/27/2019

SIE

Date: 10/1/2018

Series 6

Date: 4/3/1998

Current Firm

FISHER INVESTMENTS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FISHER INVESTMENTS

TRUST BUT VERIFY

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