Richard W. Raffety
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.
Richard Wayne Raffety was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2007 - January 6, 2021
BOENNING & SCATTERGOOD, INC.
September 21, 2007 - January 6, 2021
BOENNING & SCATTERGOOD, INC.
May 11, 2007 - September 25, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
January 30, 2007 - September 25, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
June 1, 1989 - January 31, 2007
PHILADELPHIA CORPORATION FOR INVESTMENT SERVICES
May 1, 1989 - July 3, 1989
W.H. NEWBOLD'S SON & CO., INC.
December 12, 1983 - May 1, 1989
HOPPER SOLIDAY & CO., INC.
July 17, 1981 - November 18, 1983
THOMSON MCKINNON SECURITIES INC.
February 24, 1978 - July 1, 1981
MORGAN STANLEY DW INC.
February 8, 1977 - February 24, 1978
REYNOLDS SECURITIES, INC.
March 13, 1970 - March 7, 1977
LINCOLN FINANCIAL DISTRIBUTORS, INC.
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 1
Date: 3/9/1970
Registered Representative ExaminationCurrent Firm
BOENNING & SCATTERGOOD, INC.
CRD#: 100 / SEC#: 801-68111, 8-15543
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOENNING & SCATTERGOOD HOLDINGS | HOLDING CO OF BOENNING & SCATTERGOOD INC | |
| MADDALONI, ANDREW MICHAEL | DIRECTOR | 2825865 |
| MARA, GEORGE MICHAEL JR | CHIEF COMPLIANCE OFFICER | 1574331 |
| MARA, GEORGE MICHAEL JR | PRESIDENT | 1574331 |
| SCATTERGOOD, HAROLD FRANCIS JR | DIRECTOR | 412133 |
| STANNARD, JEFFREY TAPPAN | DIRECTOR | 1337225 |
| WEIGAND, DALE ROBERT | DIRECTOR, CHIEF FINANCIAL OFFICER,FINOP | 1374549 |
Regulatory assets under management
| Total Number of Accounts | 1,321 |
| AUM (Assets Under Management) | $ 1,157,621,985 |
Disclosures
| Regulatory Event | 22 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
