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Nicholas Ethan Raffin

The Raffin Group LLC

Los Altos Hills, CA

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Current Employers
The Raffin Group Llc

Los Altos Hills, CA • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-01-08
FL RA APPROVED 2026-01-08
DE RA APPROVED 2025-12-04
TX RA APPROVED 2023-02-17
NY RA APPROVED 2021-10-06
  • CA RA
    APPROVED
    Since 2026-01-08
  • FL RA
    APPROVED
    Since 2026-01-08
  • DE RA
    APPROVED
    Since 2025-12-04
  • TX RA
    APPROVED
    Since 2023-02-17
  • NY RA
    APPROVED
    Since 2021-10-06

Branch Locations

Los Altos Hills, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 01/2016 09/2020
The Raffin Group, Llc Los Altos Hills CA 09/2020 Present
Previous Registrations
Other Businesses

1.) Nicholas Ethan Raffin is an independent licensed insurance agent.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-03-17
S63 Uniform Securities Agent State Law Examination 2015-04-02
  • S65 Uniform Investment Adviser Law Examination
    2016-03-17
  • S63 Uniform Securities Agent State Law Examination
    2015-04-02
Other Names
  • Nicholas E Raffin

View on SEC IAPD

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