LR
Luke A. Raffa
FEDERATED INVESTMENT COUNSELING
Miami, FL
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CRD#: 6330620
LR
Professional summary
Luke Anthony Raffa is a registered financial advisor currently at FEDERATED INVESTMENT COUNSELING located in Miami, Florida and FEDERATED SECURITIES CORP. located in Miami, Florida.
Luke is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Luke has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
FROM 6/2025 TO PRESENT, PET SITTER AT 801 N. VENETIAN DRIVE, APT. 307, MIAMI BEACH, FL 33139. DUTIES ARE NOT INVESTMENT RELATED AND ARE NOT PERFORMED DURING TRADING HOURS. TIME SPENT IS 5-15 HOURS PER MONTH. FROM 1/2024 TO PRESENT, OWNER OF 301 GULFSTREAM DRIVE, DELRAY BEACH, FL 33444. DUTIES ARE NOT INVESTMENT RELATED AND ARE NOT PERFORMED DURING TRADING HOURS. TIME SPENT IS LESS THAN ONE HOUR PER MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view Luke Anthony Raffa's 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®
NoneExperience
Current
February 7, 2017 - Present
FEDERATED INVESTMENT COUNSELING
RIA
CRD#: 105325
Miami, FL
Current
February 7, 2017 - Present
FEDERATED SECURITIES CORP.
RIA
BD
CRD#: 5009
Miami, FL
Current
February 13, 2017 - Present
MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC
RIA
CRD#: 109355
Miami, FL
Current
August 17, 2021 - Present
FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP.
RIA
CRD#: 106277
Miami, FL
Current
January 10, 2017 - Present
FEDERATED SECURITIES CORP.
Office #1: 1001 Liberty Avenue, Pittsburgh, PA 15222-3779RIA
BD
CRD#: 5009
Pittsburgh, PA
Past
June 26, 2015 - January 3, 2017
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
FRANKLIN, TN
Past
August 25, 2014 - June 22, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
BURLINGTON, NC
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".
FI
FEDERATED INVESTMENT COUNSELING
FEDERATED HERMES CW HENDERSON DIVISION | FEDERATED INVESTMENT COUNSELING (INCLUDING ITS FEDERATED HERMES CW HENDERSON DIVISION) | FEDERATED INVESTMENT COUNSELING | FEDERATED HERMES CW HENDERSON, A DIVISION OF FEDERATED INVESTMENT COUNSELING
CRD#: 105325 / SEC#: 801-34611
RIA
Registered Investment Advisory firm - (6/12/1989 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.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
Alabama(2/20/2020)
RR
Arkansas(1/9/2023)
RR
Florida(2/20/2020)
RR
Georgia(2/20/2020)
IAR
Illinois(10/14/2022)
RR
Louisiana(2/20/2020)
IAR
Massachusetts(2/13/2017)
RR
Mississippi(2/20/2020)
RR
Missouri(5/24/2023)
IAR
New York(8/17/2021)
RR
North Carolina(2/20/2020)
RR
Oklahoma(2/20/2020)
IAR
Pennsylvania(2/7/2017)
RR
Puerto Rico(2/5/2024)
IAR
Puerto Rico(2/26/2024)
RR
South Carolina(2/25/2020)
RR
Tennessee(2/20/2020)
RR
Virginia(7/9/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FI
FEDERATED INVESTMENT COUNSELING
FEDERATED HERMES CW HENDERSON DIVISION | FEDERATED INVESTMENT COUNSELING (INCLUDING ITS FEDERATED HERMES CW HENDERSON DIVISION) | FEDERATED INVESTMENT COUNSELING | FEDERATED HERMES CW HENDERSON, A DIVISION OF FEDERATED INVESTMENT COUNSELING
CRD#: 105325 / SEC#: 801-34611
RIA
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Contact information
Main Address
1001 Liberty Avenue, Pittsburgh, PA 15222-3779
Mailing Address
Phone number
(412) 288-1900
Established
Firm type
Fiscal year end
# of Employees
213
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,579 |
| AUM (Assets Under Management) | $ 199,641,239,415 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/11/2023 | ||
| 07/29/2022 |
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.
