Steven C. Ragains
Professional summary
Steven Charles Ragains, who also goes by Steven C Ragains, is a registered financial professional currently at UBS ASSET MANAGEMENT (US) INC. located in New York, New York.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1999. Steven has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Charles Ragains's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 13, 2002 - Present
UBS ASSET MANAGEMENT (US) INC.
Office #1: 787 Seventh Avenue, New York, NY 10019September 26, 2000 - July 31, 2002
COREBRIDGE CAPITAL SERVICES, INC.
December 1, 1999 - September 5, 2000
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/14/2005)
(8/13/2002)
(6/14/2005)
Exams
FINRA
Current Firm
UBS ASSET MANAGEMENT (US) INC.
CRD#: 583 / SEC#: , 8-21901
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 10 |
Red Flags
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