Andrew M. Raucci Jr.

OSAIC WEALTH

Centerville, OH 45459

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CRD#: 5207352

Professional summary

Andrew Mauro Raucci Jr., who also goes by Drew Raucci, Andrew Mauro Raucci, Jr., is a registered financial advisor currently at OSAIC WEALTH, INC. located in Centerville, Ohio.

Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Andrew has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Drew Raucci | Andrew Mauro Raucci, Jr.

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) TERMQUOTE/CAREQUOTE TRADEMARK POSITION: Owner of trademarks NATURE: I receive royalties for the TermQuote/CareQuote trademarks from Ingram and Raucci Insurance and Financial Advisors/TermQuote/CareQuote INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2008; ADDRESS: 6768 Loop Rd, Centerville OH 45459, United States; DESCRIPTION: No duties. Receive royalties for allowing use of trademarks 2) INGRAM-RAUCCI LLC POSITION: Single member NATURE: Single member LLCHolds commercial real estate (6768 Loop Rd Centerville, OH 45459) INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2007 ADDRESS: 6768 Loop Rd, Centerville OH 45459, United States DESCRIPTION: Pay mortgage and make depositsfor office building. 3) Ingram & Raucci Insurance and Financial Advisors, LLC/Termquote/Carequote, Yes, 6768 Loop Road, Centerville, OH 45459, CEO, 01/01/2008, 40, 40, Insurance Planning and Sales 4) INGRAM & RAUCCI INSURANCE AND FINANCIAL ADVISORS POSITION: CEO NATURE: ScorporationInsurance agency/RIA/EIA/IUL INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 01/01/2008 ADDRESS: 6768 Loop Rd, Centerville OH 45459, United States DESCRIPTION: SCorporation. I am CEO. This is the entity for my business. 5) CAREQUOTE POSITION: CEO NATURE: DBA of Ingram & Raucci Insurance and Financial Advisors. Long Term Care. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2008 ADDRESS: 6768 Loop Rd, Centerville OH 45459, United States DESCRIPTION: Sales of Long Term Care 6) TERMQUOTE POSITION: CEO NATURE: DBA of Ingram & Raucci Insurance and Financial Advisors. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2008 ADDRESS: 6768 Loop Rd, Centerville OH 45459, United States DESCRIPTION: Salesfor fixed insurance.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Mauro Raucci Jr.'s CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Andrew Mauro Raucci Jr.'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

January 6, 2017 - Present

OSAIC WEALTH, INC.

Office #1: 6768 Loop Road, Centerville, OH 45459

RIA

CRD#: 23131

Centerville, OH

Current

January 6, 2017 - Present

OSAIC WEALTH, INC.

Office #1: 6768 Loop Road, Centerville, OH 45459

RIA

CRD#: 23131

Centerville, OH

Past

January 30, 2015 - January 18, 2017

STONEX ADVISORS INC.

RIA

CRD#: 174182

BIRMINGHAM, AL

Past

September 12, 2014 - January 18, 2017

STONEX SECURITIES INC.

CRD#: 18456

CENTERVILLE, OH

Past

January 28, 2008 - January 30, 2015

WRP INVESTMENTS, INC.

RIA

CRD#: 7365

CENTERVILLE, OH

Past

November 17, 2006 - September 12, 2014

WRP INVESTMENTS, INC.

CRD#: 7365

CENTERVILLE, OH

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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

Alabama
(10/9/2023)

Arizona
(1/6/2017)

Arkansas
(9/24/2025)

California
(1/6/2017)

Colorado
(1/6/2017)

Connecticut
(1/4/2021)

Florida
(1/6/2017)

Georgia
(1/6/2017)

Illinois
(1/6/2017)

Indiana
(1/6/2017)

Kentucky
(1/6/2017)

Massachusetts
(10/9/2020)

Michigan
(8/26/2019)

Mississippi
(4/29/2019)

Montana
(1/6/2017)

Nevada
(2/21/2024)

New Jersey
(1/6/2017)

New York
(3/9/2020)

North Carolina
(1/29/2020)

Ohio
(1/6/2017)

IAR

Ohio
(1/6/2017)

Oklahoma
(1/6/2017)

Oregon
(1/6/2017)

Pennsylvania
(7/1/2021)

South Carolina
(1/6/2017)

Tennessee
(1/6/2017)

Virginia
(9/8/2021)

Wisconsin
(4/5/2022)

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: 12/11/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/16/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/3/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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

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Andrew M. Raucci Jr.

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Mauro Raucci Jr.'s CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Andrew Mauro Raucci Jr.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

STONEX ADVISORS INC.

STONEX SECURITIES INC.

WRP INVESTMENTS, INC.

WRP INVESTMENTS, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/11/2006

SIE

Date: 10/1/2018

Series 7

Date: 11/16/2006

Series 24

Date: 7/3/2007

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

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