Charles Ragonese

AE WEALTH MANAGEMENT

Palm Desert, CA 92211

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CRD#: 2466089

Professional summary

Charles Ragonese is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Palm Desert, California.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Charles has worked at 8 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.) MOUNTAIN PEAK FINANCIAL, INC.; INVESTMENT-RELATED; 1901 ORANGE TREE LANE, SUITE 260. REDLANDS, CA 92374; INSURANCE SALES AND SERVICE; PRESIDENT; 01/2015; 50 HOURS PER MONTH; 50 HOURS PER MONTH; LIFE INSURANCE AND FIXED INSURANCE PRODUCT SALES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Ragonese's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 3, 2018 - Present

AE WEALTH MANAGEMENT, LLC

Office #1: 77564 Country Club Dr Ste 403, Palm Desert, CA 92211Office #2: 1901 Orange Tree Ln Ste 260, Redlands, CA 92374

RIA

CRD#: 282580

Palm Desert, CA

Past

January 30, 2015 - October 2, 2018

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

Upland, CA

Past

July 14, 2011 - February 4, 2015

PSP FINANCIAL SERVICES LLC

RIA

CRD#: 155894

SAN DIMAS, CA

Past

November 23, 2009 - September 14, 2011

REAP FINANCIAL GROUP, LLC

RIA

CRD#: 144560

SAN DIMAS, CA

Past

November 10, 2008 - January 14, 2010

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

SAN DIEGO, CA

Past

July 25, 2007 - November 12, 2008

INTEGRITY ALLIANCE, LLC.

CRD#: 139627

SAN DIMAS, CA

Past

November 1, 2000 - July 6, 2007

MML INVESTORS SERVICES, LLC

CRD#: 10409

SAN DIMAS, CA

Past

March 31, 1994 - October 23, 2000

MONY SECURITIES CORPORATION

CRD#: 4386

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".

AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319

RIA

Registered Investment Advisory firm - (2/17/2016 Approved)

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.

Highlighted states indicate IAR registrations

IAR

California
(10/3/2018)

IAR

Texas
(10/14/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/8/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/30/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 3/21/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319

RIA

Registered Investment Advisory firm - (2/17/2016 Approved)

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Contact information

Main Address

2950 Sw Mcclure Road Suite B, Topeka, KS 66614

Mailing Address

Phone number

(866) 363-9595

Established

Firm type

Fiscal year end

# of Employees

602

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 (10/1/2025)

FORM ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts	111,059
AUM (Assets Under Management)	$ 37,525,706,084

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.

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Advisor Monitoring

Firm Stability Insights

Charles Ragonese

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Ragonese's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

PSP FINANCIAL SERVICES LLC

REAP FINANCIAL GROUP, LLC

BROOKSTONE CAPITAL MANAGEMENT LLC

INTEGRITY ALLIANCE, LLC.

MML INVESTORS SERVICES, LLC

MONY SECURITIES CORPORATION

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/8/2008

Series 63

Date: 3/30/1994

Series 6

Date: 3/21/1994

Current Firm

AE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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