Dana L. Ragiel
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.
Dana Lynne Ragiel, who also goes by Dana Lynne Ragiel, Dana Ragiel, was a registered financial professional .
Dana is a previously registered financial professional and started their career in finance in 1995. Dana had worked at 10 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2021 - March 20, 2024
RAYMOND JAMES & ASSOCIATES, INC.
December 3, 2021 - March 20, 2024
RAYMOND JAMES & ASSOCIATES, INC.
September 5, 2019 - November 17, 2020
INTEGRA CAPITAL ADVISORS
June 3, 2019 - August 19, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 31, 2019 - August 19, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 13, 2015 - June 12, 2017
FIFTH THIRD SECURITIES, INC.
November 13, 2015 - June 12, 2017
FIFTH THIRD SECURITIES, INC.
January 1, 2013 - September 16, 2015
CITIGROUP GLOBAL MARKETS INC.
December 17, 2012 - September 16, 2015
CITIGROUP GLOBAL MARKETS INC.
October 23, 2009 - April 1, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - April 1, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 8, 2003 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 8, 2003 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 4, 1999 - May 20, 1999
UBS FINANCIAL SERVICES INC.
October 1, 1998 - June 3, 1999
BANC OF AMERICA SECURITIES LLC
April 7, 1998 - October 1, 1998
BANCAMERICA SECURITIES, INC.
December 13, 1995 - December 22, 1997
J.P. MORGAN SECURITIES INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
Current Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
