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Peter E. Raggio

Some features on this profile are disabled
CRD#: 4239023
PR

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.

Peter Edward Raggio was a registered financial professional .

Peter is a previously registered financial professional and started their career in finance in 2001. Peter had worked at 10 firms and has passed the Series 63, SIE, Series 25, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

November 3, 2011 - April 8, 2016

BENJAMIN & JEROLD BROKERAGE I, LLC

BD
CRD#: 29110
NEW YORK, NY
Past

October 15, 2009 - November 7, 2011

DIRECT ACCESS PARTNERS LLC

BD
CRD#: 120950
NEW YORK, NY
Past

September 11, 2009 - October 15, 2009

WALTER J. DOWD, INC.

BD
CRD#: 32701
NEW YORK, NY
Past

August 28, 2008 - November 12, 2009

BENJAMIN & JEROLD BROKERAGE I, LLC

BD
CRD#: 29110
NEW YORK, NY
Past

March 27, 2008 - January 12, 2010

ABN AMRO CLEARING USA LLC

BD
CRD#: 14020
CHICAGO, IL
Past

September 13, 2006 - March 7, 2008

PREBON FINANCIAL PRODUCTS INC.

BD
CRD#: 29551
JERSEY CITY, NJ
Past

March 13, 2006 - September 14, 2006

STONEHAVEN, LLC

BD
CRD#: 118913
NEW YORK, NY
Past

May 17, 2005 - March 23, 2006

TD PRIME SERVICES LLC

BD
CRD#: 1914
NEW YORK, NY
Past

April 11, 2005 - September 7, 2006

FJG SECURITIES INC.

BD
CRD#: 128384
NEW YORK, NY
Past

March 15, 2005 - April 19, 2005

LEK SECURITIES CORPORATION

BD
CRD#: 33135
NEW CITY, NY
Past

November 1, 2002 - April 1, 2005

PREBON FINANCIAL PRODUCTS INC.

BD
CRD#: 29551
JERSEY CITY, NJ
Past

June 14, 2001 - November 5, 2002

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY

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.

Exams

State Security Law Exam
RR
Series 63
Date: 3/15/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/8/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 25
Date: 5/4/2006
NYSE Trading Assistant Examination
General Industry/Product Exam
RR
Series 55
Date: 2/20/2004
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/13/2001
General Securities Representative Examination

Current Firm

B&
BENJAMIN & JEROLD BROKERAGE I, LLC
ALTERNATIVE INVESTMENT STORE | OPAL CAPITAL GROUP | MCCAULEY GROUP | GLOBAL SHARES EXECUTION SERVICES | GGK GROUP | DA GAMA PARTNERS | D.E. MACGOWN & CO | CURATED CAPITAL GROUP | BENJAMIN & JEROLD BROKERAGE, INC. | BENJAMIN & JEROLD BROKERAGE I, LLC

CRD#: 29110 / SEC#: , 8-44133

BD
Terminated by SEC on 04/13/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 02/01/2010
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DOLAN, TERENCE JR.CEO, CCO, AML, OWNER2352516

Disclosures

Regulatory Event6
Arbitration3

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.

Company Information

BENJAMIN & JEROLD BROKERAGE I, LLC

CRD#: 29110

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