Andrew R. Razzore
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.
Andrew Richard Razzore was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1999. Andrew had worked at 6 firms and has passed the Series 63 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2012 - January 18, 2012
CHARLES VISTA LLC
January 14, 2009 - June 29, 2010
WOODSTOCK FINANCIAL GROUP, INC.
February 27, 2002 - February 21, 2007
WOODSTOCK FINANCIAL GROUP, INC.
October 19, 2000 - October 27, 2000
LH ROSS & COMPANY, INC.
October 19, 2000 - March 11, 2002
SALOMON GREY FINANCIAL CORPORATION
March 29, 2000 - October 16, 2000
COUCH & COMPANY, INCORPORATED
July 13, 1999 - March 30, 2000
ROYAL HUTTON SECURITIES CORP.
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
Series 62
Date: 7/12/1999
Corporate Securities Limited Representative ExaminationCurrent Firm
CHARLES VISTA LLC
CRD#: 132650 / SEC#: , 8-66617
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GJL HOLDINGS LLC | SOLE MEMBER | |
| BRUNO, VINCENT MICHAEL | CCO | |
| LUBITZ, JACK | FINOP- SECONDARY PRINCIPAL | 1566639 |
Disclosures
| Regulatory Event | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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