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Richard G. Dragotta | Compliance Manager

Richard G. Dragotta | Compliance Manager

Compliance Manager

Richard has been assisting individual families and small to midsize companies for the last 20 years. Mr. Dragotta started his career as a Financial Advisor with Merrill Lynch and PaineWebber/UBS. In addition, his titles included Training Manager, Sales Manager and Assistant Branch manager for both firms. As a Chartered Retirement Planning Counselor® designated by the College of Financial Planning and Chartered Financial Consultant® he has completed extensive financial planning courses with emphasis on risk management, personal taxation and estate planning. He currently manages a local NY/NJ branches as an LPL Registered Principal, providing administrative, operational and compliance supervision to other LPL registered representatives of LPL Financial.

Mr. Dragotta is a member of the IARFC and is a Registered Financial Consultant and an invited 5 star member of the Paladin Registry. Admittance to the Registry is limited to the top 10% of U.S. financial advisors based on their competency, integrity, and various risk factors.