Andrew M. Raggio
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.
Andrew Michael Raggio, who also goes by Andy Raggio, Duke Raggio, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1969. Andrew had worked at 14 firms and has passed the Series 63, SIE, Series 55, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2015 - February 9, 2016
BENJAMIN & JEROLD BROKERAGE I, LLC
June 24, 2008 - September 23, 2011
EAST SHORE PARTNERS, INC.
March 9, 2007 - October 31, 2007
HUDSON SECURITIES,INC.
May 13, 2004 - October 27, 2006
MERRIMAN CAPITAL, INC.
October 27, 2003 - April 16, 2004
BLAYLOCK & COMPANY, INC.
September 3, 2000 - October 29, 2003
UBS CAPITAL MARKETS L.P.
March 12, 1998 - October 28, 2003
CHARLES SCHWAB & CO., INC.
December 21, 1995 - February 10, 1998
LOEWENBAUM & COMPANY INCORPORATED
March 19, 1993 - November 10, 1995
HAMBRECHT & QUIST LLC
November 17, 1988 - February 17, 1993
UBS SECURITIES LLC
October 6, 1986 - April 7, 1988
E. F. HUTTON & COMPANY INC
October 31, 1983 - August 12, 1986
HAMBRECHT & QUIST LLC
February 4, 1976 - October 18, 1983
L. F. ROTHSCHILD & CO. INCORPORATED
February 15, 1972 - April 15, 1976
G A SAXTON & COMPANY INC
December 1, 1969 - February 17, 1972
CLARK, DODGE & CO., INCORPORATED
State 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 55
Date: 4/5/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 11/24/1969
Registered Representative ExaminationCurrent Firm
BENJAMIN & JEROLD BROKERAGE I, LLC
CRD#: 29110 / SEC#: , 8-44133
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 3 |
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.
