Role at Capfinancial Partners
- Title on Schedule A
- Senior Director, Head of Trading
- Control
- Andrew Raggio is not a control person of Capfinancial Partners.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Andrew Raggio has held the filed role since January 2026.
The firm
Form ADV filed 30 September 2026
Career on record
Andrew Raggio has been registered through Capfinancial Partners since July 2015, and before that through Money Concepts Advisory Service, Ameriprise Financial Services, Inc. and Morgan Stanley.
- Passed Series 57TO, Series 99TO and Series 4 · 2023
- Passed SIE · 2018
- Money Concepts Advisory Service– · 2 yearsMt. Pleasant, SC · Adviser representative · Firm CRD 12963
- Ameriprise Financial Services, Inc.– · under a yearMelville, NY · Adviser representative · Firm CRD 6363
- Morgan Stanley– · 1 yearGarden City, NY · Adviser representative · Firm CRD 149777
- Passed Series 24, Series 14, Series 10, Series 9, Series 66 and Series 3 · 2010
- Passed Series 55 · 2007
- Passed Series 7 · 2000
- Passed Series 25 · 1999
- Passed Series 63 · 1996
Registrations and exams
Andrew Raggio has a current investment-adviser registration in North Carolina and has passed 14 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| North Carolina | Investment adviser representative | Approved | 15 July 2015 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 6 December 2010 |
| Series 63 | Uniform Securities Agent State Law Examination | 4 June 1996 |
| Series 4 | Registered Options Principal Examination | 27 February 2023 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 10 November 2010 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 5 October 2010 |
| Series 14 | Compliance Officer Examination | 5 May 2010 |
| Series 24 | General Securities Principal Examination | 23 February 2010 |
| Series 57TO | Securities Trader Exam | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 3 | National Commodity Futures Examination | 21 December 2010 |
| Series 55 | Limited Representative-Equity Trader Exam | 18 May 2007 |
| Series 7 | General Securities Representative Examination | 1 October 2000 |
| Series 25 | NYSE Trading Assistant Examination | 18 May 1999 |
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Registered Options Principal Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- Compliance Officer Examination
- Name
- General Securities Principal Examination
- Name
- Securities Trader Exam
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- National Commodity Futures Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- General Securities Representative Examination
- Name
- NYSE Trading Assistant Examination
Individual record
- Full name
- Andrew Robert Raggio
- CRD
- 2674271
- Registration status
- Investment adviser and broker registrations
- Office
- 4208 SIX FORKS RD, SUITE 1700, Raleigh, NC 27609
- Firm bio
- captrust.com
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Background
CAPTRUST says Andrew Raggio leads teams in its portfolio solutions and trading group, spanning trading, portfolio implementation and investment operations. Official firm biography/team page
Education
- Bachelor of Business Management, Western Governors University.Official firm biography/team page
Common questions
Where does Andrew Raggio work?
Andrew Raggio has been Senior Director, Head of Trading of Capfinancial Partners, LLC since January 2026.
Is Andrew Raggio a financial advisor?
Yes. Andrew Raggio has a current investment-adviser registration in North Carolina, through Capfinancial Partners since July 2015, as of 17 October 2026.
How many years of experience does Andrew Raggio have?
Andrew Raggio has worked in the financial industry for 27 years as of 17 October 2026, counted from 30 March 1999, across 4 adviser firms.
What exams has Andrew Raggio passed?
Andrew Raggio has passed 14 licensing exams: the Series 63, Series 25, Series 7, Series 55, Series 24, Series 14, Series 10, Series 9, Series 66, Series 3, SIE, Series 57TO, Series 99TO and Series 4. The earliest, the Series 63, was passed in June 1996.
Where did Andrew Raggio work before Capfinancial Partners?
Before Capfinancial Partners, Andrew Raggio was registered through Money Concepts Advisory Service, September 2013 to June 2015; Ameriprise Financial Services, Inc., January 2013 to May 2013; Morgan Stanley, March 2012 to January 2013.
Where is Andrew Raggio based?
Andrew Raggio’s registered office is in Raleigh, NC.
Leadership at Capfinancial Partners
- James MillerChief Executive Officer
- Benjamin GoldsteinPresident
- Robert MillerChief Financial Officer
- Ann LeddyChief Compliance Officer
- Karen DeniseSenior Director
- Wilson HoyleManaging Director
- Christina Markell-BallezaManaging Director, General Counsel
- Scott MathesonManaging Director
- Jonathan MeyerChief Technology Officer
- Katelyn SampsonChief Human Resources Officer
- Derick ShoffManaging Director
- Michael VogelzangManaging Director, Chief Investment Officer
- Edward WelchManaging Director
- Michael WunderliManaging Director