Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
JOHN ARTHUR RAUDAT
CRD#: 1844139
IA
B
PRIVATE ADVISOR GROUP, LLCCRD#: 155216 9 NORTH MAIN STREET
CHESTER, CT 06412
CHESTER, CT 06412
LPL FINANCIAL LLCCRD#: 6413 9 NORTH MAIN STREET
CHESTER, CT 06412
CHESTER, CT 06412
View By:
11/16/2011
Customer Dispute
Settled
8/16/2010
Customer Dispute
Settled
8/9/2010
Customer Dispute
Denied
1/28/2010
Customer Dispute
Settled
State Registrations
B
California 5/14/2013
B
Nevada 8/21/2023
B
Colorado 6/27/2017
B
New Hampshire 10/16/2017
B
Connecticut 9/30/2011
B
New Jersey 5/9/2014
IA
Connecticut 10/3/2011
B
New York 10/18/2011
B
Delaware 3/15/2018
B
North Carolina 6/24/2014
B
Florida 11/7/2011
B
Oregon 9/3/2020
B
Georgia 9/9/2022
B
Pennsylvania 10/28/2011
B
Indiana 9/8/2020
B
Rhode Island 10/28/2011
B
Maine 5/1/2012
B
Texas 1/25/2022
B
Maryland 12/21/2011
B
Virginia 10/19/2011
B
Massachusetts 11/3/2011
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/3/2011
B
Registered with this firm since 9/30/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/14/2003 - 09/30/2011 | CHESTER, CT | |
B | 03/13/2003 - 09/30/2011 | CHESTER, CT | |
IA | 09/15/1999 - 04/30/2003 | GLASTONBURY , CT | |
B | 03/24/1998 - 04/14/2003 | WORCESTER, MA |
GLASTONBURY , CT
09/15/1999 - 04/30/2003
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.