John Arthur Barragan
Professional Summary
John Arthur Barragan, who also goes by John A Barragan, John Arthur Barragan III, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1997 - 2025. John had worked at 24 firms and has passed the Series 65, Series 66, Series 99TO, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 24, Series 28 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
John A Barragan, John Arthur Barragan Iii
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
KESTRA INVESTMENT MANAGEMENT, LLC.
Contact Information
Main Address
5707 Southwest Parkway, Building 2, Ste 400, Austin, TX 78735Phone Number
(844) 553-7872# of Employees
17SEC notice filing (1 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
16,262AUM (Assets Under Management)
$4,312,723,263Similar Advisors
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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.
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Primary Firm SEC Registration
KESTRA INVESTMENT MANAGEMENT, LLC.
State Registrations and Notice Filings
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Dec 2000Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Jan 2009About the Series 28 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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