Andrew J. Raia

BAHL & GAYNOR

Elmhurst, IL

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CRD#: 4610752

Professional summary

Andrew John Raia, who also goes by Andrew Raia, Andy Raia, is a registered financial advisor currently at BAHL & GAYNOR INC located in Elmhurst, Illinois and QUASAR DISTRIBUTORS, LLC located in Portland, Maine.

Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Andrew has worked at 6 firms and has passed the Series 66, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andrew Raia | Andy Raia

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.

1). Registered Representative with Quasar Distributors, LLC which is not affiliated with Bahl & Gaynor, Inc., or its affiliates.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew John Raia's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

February 28, 2024 - Present

BAHL & GAYNOR INC

RIA

CRD#: 106139

Elmhurst, IL

Current

October 17, 2023 - Present

QUASAR DISTRIBUTORS, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101

CRD#: 103848

Portland, ME

Past

October 5, 2009 - July 6, 2023

ADVISORS ASSET MANAGEMENT, INC.

RIA

CRD#: 46727

ELMHURST, IL

Past

October 5, 2009 - July 6, 2023

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

MONUMENT, CO

Past

November 9, 2004 - November 4, 2008

GUGGENHEIM INVESTMENTS

RIA

CRD#: 129288

LISLE, IL

Past

November 9, 2004 - October 9, 2009

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

CRD#: 39805

CHICAGO, IL

Past

April 25, 2003 - November 11, 2004

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

NORTHBROOK, IL

Past

January 20, 2003 - November 11, 2004

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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".

BAHL & GAYNOR INC

BAHL & GAYNOR INC | BAHL & GAYNOR INVESTMENT COUNSEL

CRD#: 106139 / SEC#: 801-36951

RIA

Registered Investment Advisory firm - (7/13/1990 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(10/17/2023)

IAR

Illinois
(2/28/2024)

Minnesota
(10/17/2023)

IAR

Minnesota
(3/1/2024)

Wisconsin
(10/17/2023)

IAR

Wisconsin
(2/28/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/24/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/17/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BAHL & GAYNOR INC

BAHL & GAYNOR INC | BAHL & GAYNOR INVESTMENT COUNSEL

CRD#: 106139 / SEC#: 801-36951

RIA

Registered Investment Advisory firm - (7/13/1990 Approved)

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Contact information

Main Address

255 East Fifth Street Suite 2700, Cincinnati, OH 45202

Mailing Address

Phone number

(513) 287-6100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BAHL & GAYNOR ADV PART 2A (11/18/2025)

BAHL & GAYNOR ADV PART 2B (11/18/2025)

Regulatory assets under management

Total Number of Accounts	3,201
AUM (Assets Under Management)	$ 21,240,513,254

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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Advisor Monitoring

Firm Stability Insights

Andrew J. Raia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew John Raia's CRS (Customer Relationship Summary).

Certified licenses

Experience

QUASAR DISTRIBUTORS, LLC

ADVISORS ASSET MANAGEMENT, INC.

ADVISORS ASSET MANAGEMENT, INC.

GUGGENHEIM INVESTMENTS

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

BAHL & GAYNOR INC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/24/2003

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/17/2003

FINRA

Current Firm

BAHL & GAYNOR INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BAHL & GAYNOR INC

TRUST BUT VERIFY

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