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Detailed Report
ROBIN MICHELLE WOLFGRAM
ROBIN MICHELLE RAGLEY
CRD#: 2223962
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
200820092010201120122013201420152016IACETERA ADVISORS LLC (CRD# 10299)2013 - 2015 (1 year)IAFOOTHILL SECURITIES, INC. (CRD# 1027)2013 - 2013 (<1 year)IALPL FINANCIAL LLC (CRD# 6413)2012 - 2013 (<1 year)IACAMBRIDGE INVESTMENT RESEARCH ... (CRD# 134139)2011 - 2012 (1 year)IAINVESTMENT ADVISORS INTERNATIO... (CRD# 139233)2010 - 2011 (<1 year)IA1ST GLOBAL ADVISORS INC (CRD# 111133)2008 - 2009 (1 year)
Disclosure(s)
View By:
10/20/2015
Regulatory
Final
Previous Registration(s)
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 11/01/2013 - 03/19/2015 CETERA ADVISORS LLC (CRD#:10299) CAMPBELL, CA
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 08/08/2013 - 11/01/2013 FOOTHILL SECURITIES, INC. (CRD#:1027) CAMPBELL, CA
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 10/11/2012 - 08/21/2013 LPL FINANCIAL LLC (CRD#:6413) CAMPBELL, CA
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 02/04/2011 - 11/06/2012 CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139) SAN JOSE, CA
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 04/21/2010 - 02/04/2011 INVESTMENT ADVISORS INTERNATIONAL, INC. (CRD#:139233) SAN JOSE, CA
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 07/14/2008 - 08/06/2009 1ST GLOBAL ADVISORS INC (CRD#:111133) CHICO, CA
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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.
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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
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.