Raaj Gupta is a registered investment advisor, based in Charlotte, NC, with 17 years of industry experience.
Location
1030 Admiral Nelson Ct, Charlotte, NC, 28262
Get directionsHistory
Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Raaj works for The Vanguard Group, Inc. and participates in surveys and consulting for Alpha Sights, dedicating minimal time to this activity.
Employment History
Current Registrations
Vanguard Advisers, INC.
April 2022 - Present · 4 yrs 1 mo
Vanguard Marketing CorporationBroker
April 2022 - Present · 4 yrs 1 mo
Vanguard Marketing Corporation
April 2022 - Present · 4 yrs 1 mo
Previous Registrations
TD Ameritrade, INC.Broker
January 2009 - January 2021 · 12 yrs
TD Ameritrade, INC.
January 2009 - January 2021 · 12 yrs
TD Ameritrade Investment Management, LLC
January 2009 - December 2020 · 11 yrs 11 mos
PNC Investments
June 2008 - July 2008 · 1 mo
PNC InvestmentsBroker
June 2008 - July 2008 · 1 mo
Merrill Lynch, Pierce, Fenner & Smith Incorporated
February 2007 - May 2008 · 1 yr 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 2007 - May 2008 · 1 yr 4 mos
State Registrations5 states
GANCOHTXUT
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.