Jeffrey S. Ragan
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.
Jeffrey S Ragan, who also goes by Jeff Ragan, Jeffrey Scott Ragan, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2003. Jeffrey had worked at 9 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2022 - October 14, 2022
TD AMERITRADE, INC.
September 9, 2022 - December 20, 2023
TD AMERITRADE, INC.
December 11, 2017 - January 9, 2024
CHARLES SCHWAB & CO., INC.
December 8, 2017 - January 9, 2024
CHARLES SCHWAB & CO., INC.
November 18, 2016 - October 31, 2017
SCOTTRADE INVESTMENT MANAGEMENT
September 20, 2012 - October 31, 2017
SCOTTRADE, INC.
September 8, 2009 - August 3, 2012
LPL FINANCIAL LLC
September 8, 2009 - August 3, 2012
LPL FINANCIAL LLC
January 30, 2006 - September 8, 2009
ASSOCIATED SECURITIES CORP.
January 19, 2006 - September 8, 2009
ASSOCIATED SECURITIES CORP.
June 16, 2004 - August 31, 2005
STIFEL INDEPENDENT ADVISORS, LLC
June 15, 2004 - August 31, 2005
STIFEL INDEPENDENT ADVISORS, LLC
March 29, 2004 - April 29, 2004
EDWARD JONES
September 18, 2003 - January 5, 2004
EQUITABLE ADVISORS, LLC
September 8, 2003 - January 5, 2004
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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