George J. Raggets
Professional summary
George Joseph Raggets, who also goes by George Raggets, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Covington, Kentucky and NATIONAL FINANCIAL SERVICES LLC located in Covington, Kentucky.
George is registered as a RR (Registered Representative) and started their career in finance in 2001. George has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view George Joseph Raggets's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 15, 2001 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 Magellan, Covington, KY 41015September 20, 2024 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 100 Magellan Way, Covington, KY 41015State 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 99TO
Date: 7/4/2024
Operations Professional ExaminationFINRA
New York Stock Exchange
Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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