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DR

Diego M. Raggio

ALLY INVEST SECURITIES LLC
Charlotte, NC 28202
Some features on this profile are disabled
CRD#: 5516961
DR

Professional summary

Diego Miguel Raggio, who also goes by Diego Manuel Raggio, is a registered financial professional currently at ALLY INVEST SECURITIES LLC located in Charlotte, North Carolina.

Diego is registered as a RR (Registered Representative) and started their career in finance in 2012. Diego has worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Diego Manuel Raggio

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) - BD

Click below to view Diego Miguel Raggio'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

December 17, 2009 - Present

ALLY INVEST SECURITIES LLC

Office #1: 601 S. Tryon St. Suite 100, Charlotte, NC 28202
BD
CRD#: 136131
Charlotte, NC
Past

August 17, 2012 - December 20, 2012

ZECCO TRADING, INC.

BD
CRD#: 135398
GLENDALE, CA

State Registrations and Notice Filings

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

RR
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

RR
North Carolina
(1/8/2010)

Exams

State Security Law Exam
RR
Series 63
Date: 1/7/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/16/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/5/2012
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/22/2010
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AI
ALLY INVEST SECURITIES LLC
ALLY INVEST SECURITIES LLC | TRADEKING SECURITIES LLC | TRADEKING LLC | TRADEKING | KANE REID SECURITIES GROUP, INC.

CRD#: 136131 / SEC#: , 8-66982

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
601 S Tryon Street Suite 100, Charlotte, NC 28202
Mailing Address
P.o. Box 30248, Charlotte, NC 28230
Phone number
(855) 880-2559
Established
Delaware since 08/23/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALLY INVEST GROUP INC.OWNER
LIETKE, FRANK GREGORYPRESIDENT6900716
MARTIN, ALEX MICHAELPRINCIPAL FINANCIAL OFFICER5639666
POWELL, BENJAMIN TRACYPRINCIPAL OPERATIONS OFFICER2438200
SYKES, ROBERT CHRISTOPHERCHIEF COMPLIANCE OFFICER2775993

Disclosures

Regulatory Event2
Arbitration1

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

ALLY INVEST SECURITIES LLC

CRD#: 136131Charlotte, NC 28202

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