Ragen R. Stienke

BALLAST ASSET MANAGEMENT

Dallas, TX 75219

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CRD#: 4101113

Professional summary

Ragen R Stienke is a registered financial advisor currently at BALLAST ASSET MANAGEMENT located in Dallas, Texas.

Ragen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Ragen has worked at 3 firms and has passed the Series 63 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ragen R Stienke'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 10, 2024 - Present

BALLAST ASSET MANAGEMENT

Office #1: 2911 Turtle Creek Blvd Suite 300, Dallas, TX 75219

RIA

CRD#: 311116

Dallas, TX

Past

January 23, 2017 - January 30, 2018

BALLAST ASSET MANAGEMENT, LLC

RIA

CRD#: 285703

DALLAS, TX

Past

September 8, 2000 - November 9, 2004

UBS SECURITIES LLC

CRD#: 7654

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".

BALLAST ASSET MANAGEMENT

BALLAST ASSET MANAGEMENT | BALLAST ASSET MANAGEMENT, LP

CRD#: 311116 / SEC#: 801-119749

RIA

Registered Investment Advisory firm - (11/9/2020 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

Texas
(10/10/2024)

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

Series 63

Date: 9/11/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/7/2000

General Securities Representative Examination

Current Firm

BALLAST ASSET MANAGEMENT

BALLAST ASSET MANAGEMENT | BALLAST ASSET MANAGEMENT, LP

CRD#: 311116 / SEC#: 801-119749

RIA

Registered Investment Advisory firm - (11/9/2020 Approved)

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Contact information

Main Address

3879 Maple Avenue Suite 300, Dallas, TX 75219

Mailing Address

Phone number

(469) 502-3652

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (11/11/2025)

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 206,340,260

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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Ragen R. Stienke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ragen R Stienke's CRS (Customer Relationship Summary).

Certified licenses

Experience

BALLAST ASSET MANAGEMENT

BALLAST ASSET MANAGEMENT, LLC

UBS SECURITIES LLC

Primary Firm SEC Registration

BALLAST ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 9/11/2000

Series 7

Date: 9/7/2000

Current Firm

BALLAST ASSET MANAGEMENT

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BALLAST ASSET MANAGEMENT

TRUST BUT VERIFY

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