Lori A. Ragus
Professional summary
Lori Ann Ragus, who also goes by Lori Ann Kocimski, Lori Ann Trowbridge, is a registered financial advisor currently at PTMA INVESTMENT ADVISORS located in Naperville, Illinois and PMA SECURITIES, LLC located in Naperville, Illinois.
Lori is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Lori has worked at 3 firms and has passed the Series 66, Series 52TO, Series 99TO, SIE, Series 50, Series 14, Series 54, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Lori Ann Ragus's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 22, 2019 - Present
PTMA INVESTMENT ADVISORS
Office #1: 2135 Citygate Lane 7th Floor, Naperville, IL, 60563March 29, 2010 - Present
PMA SECURITIES, LLC
Office #1: 2135 Citygate Lane 7th Floor, Naperville, IL 60563March 16, 2011 - May 22, 2019
PRUDENT MAN ADVISORS, INC.
Primary Firm SEC Registration
PTMA INVESTMENT ADVISORS
CRD#: 301973 / SEC#: 801-115313
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/8/2022)
(10/14/2010)
(5/22/2019)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
PTMA INVESTMENT ADVISORS
CRD#: 301973 / SEC#: 801-115313
Contact information
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 504 |
| AUM (Assets Under Management) | $ 27,791,353,702 |
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.
