Christopher Raffo, financial advisor Gustine CA
81 score

Christopher Raffo

CRD Number: 1330799
Current Firm: Caldwell Securities, Incorporated

Christopher Raffo (CRD# 1330799) is an Investment Advisor Representative working at Caldwell Securities, Incorporated in Gustine, CA and has over 30 years of experience in the finance industry.

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Company Name Location Dates Years
Caldwell Securities, Inc. Sausalito, CA Feb 2011 - Current 5
Fig Partners LLC Atlanta, GA Jul 2005 - Jan 2011 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1986
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for Christopher R. Raffo
Phone Number: 415-962-2526
Firm Website: http://www.cald.com/
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    138
    MILLIONS
  • Total Number of Accounts
    634
    ACCOUNTS
  • Average Account Value
    $217,657
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States

AZ, CA, CO, IL, MI, NV, NY, OR, PA, TX

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BADGES
81

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