Joseph T. Raucci
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.
Joseph Thomas Raucci, who also goes by Joe Raucci, Joseph Raucci, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2018. Joseph had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2022 - August 13, 2024
BMO DIRECT INVEST INC.
July 13, 2021 - August 24, 2021
PRUCO SECURITIES, LLC.
July 13, 2021 - August 24, 2021
PRUCO SECURITIES, LLC.
July 8, 2019 - June 15, 2021
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 17, 2018 - June 15, 2021
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
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
Current Firm
BMO DIRECT INVEST INC.
CRD#: 317064 / SEC#: 801-123005
Contact information
Regulatory assets under management
| Total Number of Accounts | 154 |
| AUM (Assets Under Management) | $ 4,661,075 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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