Christopher RaffoCRD Number: 1330799
Current Firm: Caldwell Sutter Capital, Inc.
Christopher Raffo (CRD# 1330799) is an Investment Advisor Representative working at Caldwell Sutter Capital, Inc. in Gustine, CA and has over 31 years of experience in the finance industry.
Cetera Investment Advisers LLC
Lincoln Financial Advisors Corporation
Berger Asset Management, Inc.
|Caldwell Securities, Inc.||Sausalito, CA||Feb 2011 - Current||7|
|Fig Partners LLC||Atlanta, GA||Jul 2005 - Jan 2011||5|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||May 1986|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Judgments / Liens
Total Assets Under Management174MILLIONS
Total Number of Accounts462ACCOUNTS
Average Account Value$377,232
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
AZ, CA, CO, IL, MI, NV, NY, OR, PA, TX, VT