David Ragone
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.
David Ragone, who also goes by David Andrew Ragone, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2002. David had worked at 6 firms and has passed the Series 63, Series 7TO, 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
June 6, 2019 - April 22, 2021
SURYA CAPITALE SECURITIES LLC
December 23, 2011 - September 24, 2012
FOREFRONT CAPITAL MARKETS LLC
March 12, 2009 - December 14, 2011
EKN FINANCIAL SERVICES INC.
July 25, 2005 - March 18, 2009
MAXIM GROUP LLC
August 6, 2003 - July 26, 2005
EKN FINANCIAL SERVICES INC.
May 29, 2002 - November 6, 2003
SANDS BROTHERS & CO., LTD.
April 17, 2002 - May 16, 2002
CONTINENTAL BROKER-DEALER CORP.
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 7TO
Date: 6/5/2019
General Securities Representative ExaminationCurrent Firm
SURYA CAPITALE SECURITIES LLC
CRD#: 159173 / SEC#: , 8-68968
Contact information
FINRA licenses (5 States and Territories)
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.
