John A. Barragan
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.
John Arthur Barragan III, who also goes by John A Barragan, John Arthur Barragan III, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1997. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2024 - May 20, 2025
KESTRA INVESTMENT MANAGEMENT, LLC.
August 1, 2024 - May 20, 2025
KESTRA INVESTMENT SERVICES, LLC
April 3, 2024 - July 24, 2024
REALTA INVESTMENT ADVISORS, INC
April 3, 2024 - July 24, 2024
REALTA EQUITIES, INC.
December 16, 2021 - April 3, 2024
KESTRA INVESTMENT MANAGEMENT, LLC.
November 11, 2021 - January 11, 2022
KESTRA ADVISORY SERVICES, LLC
November 11, 2021 - April 2, 2024
KESTRA INVESTMENT SERVICES, LLC
September 3, 2020 - January 25, 2021
MERCER ALLIED COMPANY, L.P.
July 6, 2020 - December 22, 2021
GOLDMAN SACHS & CO. LLC
May 22, 2020 - December 22, 2021
UNITED CAPITAL FINANCIAL ADVISORS
October 9, 2018 - January 14, 2020
CETERA INVESTMENT SERVICES LLC
October 27, 2017 - January 14, 2020
CETERA WEALTH SERVICES, LLC
October 27, 2017 - January 14, 2020
CETERA WEALTH SERVICES, LLC
April 13, 2016 - July 5, 2016
FIRST ALLIED ADVISORY SERVICES, INC.
September 25, 2012 - November 15, 2017
GIRARD SECURITIES, INC.
September 24, 2012 - February 6, 2018
GIRARD SECURITIES, INC.
December 15, 2011 - September 21, 2012
COOPER MCMANUS
December 1, 2011 - September 19, 2012
SECURITIES AMERICA, INC.
October 7, 2010 - November 8, 2011
SCF INVESTMENT ADVISORS, INC.
October 6, 2010 - November 8, 2011
SCF SECURITIES, INC.
November 1, 2007 - October 18, 2010
TRICOR ADVISORY SERVICES, LLC
July 31, 2007 - October 4, 2010
TRICOR FINANCIAL, LLC
May 2, 2006 - August 2, 2007
INVEST FINANCIAL CORPORATION
February 20, 2006 - August 2, 2007
INVEST FINANCIAL CORPORATION
March 18, 2003 - February 18, 2004
ESSENTIAL SECURITIES, INC.
May 3, 2000 - October 23, 2001
MATRIX EXECUTIONS, LLC
October 12, 1999 - January 8, 2001
INVESTIN SECURITIES CORP.
March 26, 1999 - July 1, 1999
PRUDENTIAL EQUITY GROUP, LLC
September 19, 1997 - April 1, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
KESTRA INVESTMENT MANAGEMENT, LLC.
CRD#: 317711 / SEC#: 801-122889
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 12/4/2000
Limited Representative-Equity Trader ExamSeries 28
Date: 1/29/2009
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
KESTRA INVESTMENT MANAGEMENT, LLC.
CRD#: 317711 / SEC#: 801-122889
Contact information
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 9,421 |
| AUM (Assets Under Management) | $ 2,615,262,770 |
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.
