Richard Ragold is a registered investment advisor, based in Tenafly, NJ, with 37 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold.
Location
20 West Railroad Ave, Tenafly, NJ, 07670
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Regulatory History (2)
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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 9 mos
Cetera Investment Services LLCBroker
January 2024 - Present · 2 yrs 9 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 Registrations9 states
CAFLMANCNJNYPATXVA
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.
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