Nicholas E. Raffin
Professional summary
Nicholas Ethan Raffin, CIMA®, who also goes by Nicholas E Raffin, is a registered financial advisor currently at THE RAFFIN GROUP LLC located in Los Altos Hills, California.
Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Nicholas has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Ethan Raffin's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 9, 2020 - Present
THE RAFFIN GROUP LLC
Office #1: 13468 Three Forks Lane, Los Altos Hills, CA 94022March 21, 2016 - September 8, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 28, 2016 - September 8, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 13, 2015 - December 17, 2015
LAMPERT CAPITAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/9/2020)
(10/16/2025)
(10/1/2025)
(10/15/2021)
(10/6/2021)
(2/17/2023)
Exams
Current Firm
THE RAFFIN GROUP LLC
CRD#: 310270 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 129 |
| AUM (Assets Under Management) | $ 28,750,662 |
Red Flags
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Company Information
THE RAFFIN GROUP LLC
CRD#: 310270Los Altos Hills, CA 94022TRUST BUT VERIFY
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