James Raiola, financial advisor Warwick RI

James Raiola

CRD Number: 1709031
Current Firm: Mml Investors Services, LLC

James Raiola (CRD# 1709031) is an Investment Advisor Representative working at Mml Investors Services, LLC in Warwick, RI and has over 34 years of experience in the finance industry. James Raiola has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Mml Investors Services, Inc. Providence, RI Mar 1996 - Current 25
Massmutual Life Insurance Company Providence, RI Feb 1987 - Current 34
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1987
Contact Info for James J. Raiola
Phone Number: (413)737-8400
Registered State(s):
  • RI
By the Numbers
  • Total Assets Under Management
    49,002
    MILLIONS
  • Total Number of Accounts
    252,369
    ACCOUNTS
  • Average Account Value
    $194,169
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY

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