Richard Ragold is a registered investment advisor, based in Astoria, NY, with 36 years of industry experience.
Location
28-20 Ditmars Blvd, Astoria, NY, 11105
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2019Settled
Customer Dispute
March 2001Settled
Other Business Activities
Richard is involved with Realty Executive Group, focusing on residential real estate referrals. This activity is not investment-related.
Employment History
Current Registrations
Cetera Investment Advisers LLC
January 2024 - Present · 2 yrs 4 mos
Cetera Investment Services LLCBroker
January 2024 - Present · 2 yrs 4 mos
Previous Registrations
Capitol Securities Management, INC.
January 2020 - January 2024 · 4 yrs
Capitol Securities Management, INC.Broker
April 2007 - January 2024 · 16 yrs 9 mos
Oppenheimer & CO. INC.Broker
January 2002 - April 2007 · 5 yrs 3 mos
Josephthal & CO., INC.Broker
April 1998 - January 2002 · 3 yrs 9 mos
Golden Harris Capital Group, INC.Broker
June 1989 - March 1998 · 8 yrs 9 mos
State Registrations8 states
FLMANCNJNYPATXVA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.