BR
Brian W. Ragen
CONCORDE ASSET MANAGEMENT
Ann Arbor, MI 48108
Some features on this profile are disabled
CRD#: 1822796
BR
Professional summary
Brian William Ragen, who also goes by Brian Ragen, is a registered financial advisor currently at CONCORDE ASSET MANAGEMENT, LLC located in Ann Arbor, Michigan and CONCORDE INVESTMENT SERVICES, LLC located in Ann Arbor, Michigan.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Brian has worked at 16 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 28, Series 9, Series 10 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian Ragen
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Concorde Asset Management, LLC, Investment related, Ann Arbor, MI, Registered Investment advisory firm affiliation with the BD, Concorde Investment Services. Compliance Principal. Start date, March 2018. Full time during trading hours. 2) Concorde Holdings, Inc., Investment related, Ann Arbor, MI, Holding company for Broker Dealer and RIA affiliate. Start date, March 2018. Full time.
CRS (Client Relationship Summary) - RIA
Click below to view Brian William Ragen's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 19, 2018 - Present
CONCORDE ASSET MANAGEMENT, LLC
Office #1: 3909 Research Park Drive Suite 200, Ann Arbor, MI 48108RIA
CRD#: 140367
Ann Arbor, MI
Current
March 19, 2018 - Present
CONCORDE INVESTMENT SERVICES, LLC
Office #1: 3909 Research Park Drive Suite 200, Ann Arbor, MI 48108Office #2: 3909 Research Park Drive Suite 200, Ann Arbor, MI 48108BD
CRD#: 151604
Ann Arbor, MI
Past
October 23, 2012 - March 6, 2018
TRIAD ADVISORS LLC
RIA
CRD#: 25803
NORCROSS, GA
Past
October 23, 2012 - March 6, 2018
TRIAD ADVISORS LLC
BD
CRD#: 25803
NORCROSS, GA
Past
February 3, 2012 - May 21, 2012
L.M. KOHN & COMPANY
RIA
CRD#: 27913
ATLANTA, GA
Past
December 19, 2011 - May 21, 2012
L.M. KOHN & COMPANY
BD
CRD#: 27913
ATLANTA, GA
Past
January 12, 2011 - January 25, 2012
MIDSOUTH CAPITAL, INC.
RIA
CRD#: 35039
ATLANTA, GA
Past
January 16, 2008 - December 31, 2010
MIDSOUTH CAPITAL, INC.
RIA
CRD#: 35039
ATLANTA, GA
Past
January 11, 2008 - February 27, 2012
MIDSOUTH CAPITAL, INC.
BD
CRD#: 35039
ATLANTA, GA
Past
April 2, 2007 - December 21, 2007
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
ATLANTA, GA
Past
April 2, 2007 - December 21, 2007
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
ATLANTA, GA
Past
September 29, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
ATLANTA, GA
Past
October 7, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
ATLANTA, GA
Past
July 14, 2004 - September 16, 2005
NORTH COAST SECURITIES CORPORATION
BD
CRD#: 35982
SAN FRANCISCO, CA
Past
May 17, 2000 - August 2, 2002
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SAN DIEGO, CA
Past
May 13, 1999 - May 11, 2000
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
ATLANTA, GA
Past
August 24, 1998 - May 27, 1999
CARTER, TERRY & COMPANY, INC.
BD
CRD#: 16365
ATLANTA, GA
Past
January 3, 1996 - September 23, 1998
ARGENT SECURITIES, INC.
BD
CRD#: 15297
ATLANTA, GA
Past
June 7, 1995 - December 22, 1995
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
Past
October 22, 1992 - August 4, 1993
SCOTTRADE, INC.
BD
CRD#: 8206
ST. LOUIS, MO
Past
May 30, 1990 - January 1, 1992
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
May 5, 1988 - September 23, 1989
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CA
CONCORDE ASSET MANAGEMENT, LLC
CONCORDE ASSET MANAGEMENT LLC | CONCORDE ASSET MANAGEMENT, LLC
CRD#: 140367 / SEC#: 801-74519
RIA
Registered Investment Advisory firm - (4/19/2012 Approved)California
Registered Investment Advisory firm - (11/28/2012 Terminated)Colorado
Registered Investment Advisory firm - (11/29/2012 Terminated)Illinois
Registered Investment Advisory firm - (4/19/2012 Terminated)Indiana
Registered Investment Advisory firm - (11/5/2012 Terminated)Kansas
Registered Investment Advisory firm - (11/5/2012 Terminated)Michigan
Registered Investment Advisory firm - (11/27/2012 Terminated)Missouri
Registered Investment Advisory firm - (11/5/2012 Terminated)Ohio
Registered Investment Advisory firm - (11/7/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/7/2012 Terminated)Texas
Registered Investment Advisory firm - (11/5/2012 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/2/2024)
RR
Alaska(1/2/2024)
RR
Arizona(1/2/2024)
RR
Arkansas(1/2/2024)
RR
California(1/2/2024)
RR
Colorado(1/2/2024)
RR
Connecticut(1/2/2024)
RR
Delaware(1/2/2024)
RR
District of Columbia(1/2/2024)
RR
Florida(1/2/2024)
RR
Georgia(3/19/2018)
IAR
Georgia(3/19/2018)
RR
Hawaii(1/2/2024)
RR
Idaho(1/2/2024)
RR
Illinois(1/2/2024)
RR
Indiana(1/2/2024)
RR
Iowa(1/2/2024)
RR
Kansas(1/2/2024)
RR
Kentucky(1/2/2024)
RR
Louisiana(1/2/2024)
RR
Maine(1/2/2024)
RR
Maryland(1/2/2024)
RR
Massachusetts(5/29/2018)
IAR
Massachusetts(7/17/2018)
RR
Michigan(3/19/2018)
IAR
Michigan(3/21/2018)
RR
Minnesota(1/2/2024)
RR
Mississippi(1/2/2024)
RR
Missouri(1/2/2024)
RR
Montana(1/2/2024)
RR
Nebraska(1/2/2024)
RR
Nevada(1/2/2024)
RR
New Hampshire(1/2/2024)
RR
New Jersey(1/2/2024)
RR
New Mexico(1/2/2024)
RR
New York(1/2/2024)
RR
North Carolina(1/2/2024)
RR
North Dakota(1/2/2024)
RR
Ohio(1/3/2024)
RR
Oklahoma(1/2/2024)
RR
Oregon(1/2/2024)
RR
Pennsylvania(1/2/2024)
RR
Puerto Rico(6/3/2025)
RR
Rhode Island(1/2/2024)
RR
South Carolina(1/2/2024)
RR
South Dakota(1/2/2024)
RR
Tennessee(1/2/2024)
RR
Texas(1/2/2024)
RR
Utah(1/2/2024)
RR
Vermont(1/2/2024)
RR
Virgin Islands(1/2/2024)
RR
Virginia(1/2/2024)
RR
Washington(1/2/2024)
RR
West Virginia(1/2/2024)
RR
Wisconsin(1/2/2024)
RR
Wyoming(1/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 28
Date: 8/29/2011
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CONCORDE ASSET MANAGEMENT, LLC
CONCORDE ASSET MANAGEMENT LLC | CONCORDE ASSET MANAGEMENT, LLC
CRD#: 140367 / SEC#: 801-74519
RIA
Registered Investment Advisory firm - (4/19/2012 Approved)California
Registered Investment Advisory firm - (11/28/2012 Terminated)Colorado
Registered Investment Advisory firm - (11/29/2012 Terminated)Illinois
Registered Investment Advisory firm - (4/19/2012 Terminated)Indiana
Registered Investment Advisory firm - (11/5/2012 Terminated)Kansas
Registered Investment Advisory firm - (11/5/2012 Terminated)Michigan
Registered Investment Advisory firm - (11/27/2012 Terminated)Missouri
Registered Investment Advisory firm - (11/5/2012 Terminated)Ohio
Registered Investment Advisory firm - (11/7/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/7/2012 Terminated)Texas
Registered Investment Advisory firm - (11/5/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3909 Research Park Drive Suite 200, Ann Arbor, MI 48108
Mailing Address
Phone number
(248) 824-6710
Established
Firm type
Fiscal year end
# of Employees
79
SEC notice filing (48 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,207 |
| AUM (Assets Under Management) | $ 489,858,232 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
