Robert R. Ragland
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.
Robert Richard Ragland, who also goes by Bob R Ragland, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2002. Robert had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - October 31, 2022
CETERA INVESTMENT ADVISERS LLC
March 27, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
March 26, 2013 - October 31, 2022
CETERA INVESTMENT SERVICES LLC
December 16, 2010 - January 9, 2013
MSI FINANCIAL SERVICES, INC.
December 9, 2010 - January 9, 2013
MSI FINANCIAL SERVICES, INC.
November 19, 2010 - December 13, 2010
MML INVESTORS SERVICES, LLC
November 20, 2009 - December 13, 2010
MML INVESTORS SERVICES, LLC
September 4, 2007 - May 8, 2009
U.S. BANCORP INVESTMENTS, INC.
December 20, 2006 - May 8, 2009
U.S. BANCORP INVESTMENTS, INC.
September 18, 2003 - December 20, 2006
ALLSTATE FINANCIAL SERVICES, LLC
June 4, 2002 - October 14, 2003
WOODMEN FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
