Louis J. Ragosta
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Louis John Ragosta was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1991. Louis had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2019 - November 19, 2020
STONEX SECURITIES INC.
January 23, 2014 - December 6, 2019
QUEST CAPITAL STRATEGIES, INC.
March 22, 2011 - December 31, 2013
OSAIC WEALTH, INC.
February 14, 2007 - March 23, 2011
SIGNATOR INVESTORS, INC.
September 8, 2004 - December 31, 2006
DOMINARI SECURITIES LLC
August 4, 1997 - September 28, 2004
JANNEY MONTGOMERY SCOTT LLC
May 13, 1996 - May 28, 1997
CITIZENS SECURITIES, INC.
May 18, 1995 - May 21, 1996
GUARANTY BROKERAGE SERVICES, INC.
January 20, 1992 - May 24, 1995
AMERIPRISE ADVISOR SERVICES, INC.
July 18, 1991 - January 15, 1992
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 10/4/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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