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RICHARD THOMAS RAGOLD
CRD#: 1808168
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 65 South Street
NEW PROVIDENCE, NJ 07974
CETERA INVESTMENT SERVICES LLCCRD#: 15340 65 South Street
New Providence, NJ 07974
Registration History
199019952000200520102015202020252 FIRMS2024 - Present (1 year)BCAPITOL SECURITIES MANAGEMENT,... (CRD# 14169)2007 - 2024 (16 years)BOPPENHEIMER & CO. INC. (CRD# 249)2002 - 2007 (5 years)BJOSEPHTHAL & CO., INC. (CRD# 3227)1998 - 2002 (3 years)BGOLDEN HARRIS CAPITAL GROUP, INC. (CRD# 13889)1989 - 1998 (8 years)IACAPITOL SECURITIES MANAGEMENT,... (CRD# 14169)2020 - 2024 (4 years)
Disclosure(s)
View By:
1/7/2019
Customer Dispute
Settled
3/8/2001
Customer Dispute
Settled
License(s)

State Registrations

B
Florida 1/25/2024

B
North Carolina 1/25/2024

B
Massachusetts 3/8/2024

B
Pennsylvania 1/25/2024

B
New Jersey 1/8/2024

B
Texas 1/24/2024

IA
New Jersey 1/8/2024

IA
Texas 1/24/2024

B
New York 1/24/2024

B
Virginia 2/27/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
65 South Street, NEW PROVIDENCE, NJ 07974
Registered with this firm since 1/8/2024

B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
65 South Street, New Providence, NJ 07974
Registered with this firm since 1/8/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/17/2020 - 01/09/2024 CAPITOL SECURITIES MANAGEMENT, INC. (CRD#:14169) Basking Ridge, NJ
B
04/13/2007 - 01/09/2024 CAPITOL SECURITIES MANAGEMENT, INC. (CRD#:14169) Basking Ridge, NJ
B
01/02/2002 - 04/23/2007 OPPENHEIMER & CO. INC. (CRD#:249) FLORHAM PARK, NJ
B
04/01/1998 - 01/02/2002 JOSEPHTHAL & CO., INC. (CRD#:3227) NEW YORK, NY
B
06/26/1989 - 03/31/1998 GOLDEN HARRIS CAPITAL GROUP, INC. (CRD#:13889) WEST ORANGE, NJ
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.