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AR

Amir K. Ragui

KAL CAPITAL MARKETS LLC
Long Beach, CA 90808
Some features on this profile are disabled
CRD#: 6616313
AR

Professional summary

Amir Khalil Ragui, who also goes by Amir Ragui, is a registered financial professional currently at KAL CAPITAL MARKETS LLC located in Long Beach, California.

Amir is registered as a RR (Registered Representative) and started their career in finance in 2016. Amir has worked at 3 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Amir Ragui

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) - BD

Click below to view Amir Khalil Ragui's 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

May 9, 2022 - Present

KAL CAPITAL MARKETS LLC

Office #1: 3738 Bayer Avenue Suite 103, Long Beach, CA 90808
BD
CRD#: 291333
Long Beach, CA
Past

February 28, 2018 - October 7, 2021

KAL CAPITAL MARKETS LLC

BD
CRD#: 291333
LONG BEACH, CA
Past

February 13, 2017 - February 21, 2018

INDEPENDENT INVESTMENT BANKERS, CORP.

BD
CRD#: 154134
AUSTIN, TX
Past

June 17, 2016 - January 3, 2017

SALEM PARTNERS LLC

BD
CRD#: 43363
LOS ANGELES, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/16/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 6/17/2016
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

KC
KAL CAPITAL MARKETS LLC
KAL CAPITAL MARKETS LLC

CRD#: 291333 / SEC#: , 8-70053

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
3738 Bayer Avenue Suite 103, Long Beach, CA 90808
Mailing Address
3738 Bayer Avenue Suite 103, Long Beach, CA 90808
Phone number
(949) 404-4203
Established
California since 12/19/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
GALLP LIVING TRUSTOWNER
MURPHY, RYAN MMANAGING MEMBER5183659
BOHN, TREVOR THOMASGALLP LIVING TRUST - TRUSTEE4516388
BOHN, TREVOR THOMASMANAGING MEMBER & CCO4516388
DONNER, AMANDA NOELLEGALLP LIVING TRUST- TRUSTEE6915551
THORNTON, STEVEN LEEFINOP4496384

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.

Company Information

KAL CAPITAL MARKETS LLC

CRD#: 291333Long Beach, CA 90808

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