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Brian William Ragen

Investment Adviser Representative at CONCORDE ASSET MANAGEMENT, LLC

Ann Arbor, MICRD #1822796Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
32 yrs
States Registered
53 states
Exams Passed
9

Registrations & licenses

Registration type
Dual-registered
Registered in 53 states
AlabamaAlaskaArizonaArkansasCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaHawaiiIdahoIllinoisIndianaIowaKansasKentuckyLouisianaMaineMarylandMassachusettsMichiganMinnesotaMississippiMissouriMontanaNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaOhioOklahomaOregonPennsylvaniaPuerto RicoRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVermontVirgin IslandsVirginiaWashingtonWest VirginiaWisconsinWyoming
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 9/25/2006
Series 63
Uniform Securities Agent State Law Examination
Passed 6/25/1990
Series 99
Operations Professional Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 4/16/1988
Series 28
Introducing Broker/Dealer Financial Operations Principal Examination
Passed 8/29/2011
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 12/21/2005
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 12/19/2005
Series 24
General Securities Principal Examination
Passed 10/28/1997

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Concorde Asset Management, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

CONCORDE ASSET MANAGEMENT, LLCCurrent
3/19/2018Ann Arbor, MI
CONCORDE INVESTMENT SERVICES, LLCCurrent
3/19/2018Atlanta, GA
TRIAD ADVISORS, LLC
10/23/20123/6/2018Norcross, GA
L.M. KOHN & COMPANY
2/3/20125/21/2012Atlanta, GA
MIDSOUTH CAPITAL, INC.
1/12/20111/25/2012Atlanta, GA
MIDSOUTH CAPITAL, INC.
1/16/200812/31/2010Atlanta, GA
MORGAN STANLEY & CO., INCORPORATED
4/2/200712/21/2007Atlanta, GA
MORGAN STANLEY
9/29/20064/2/2007Atlanta, GA

Official records & sources

Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Brian William Ragen has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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Brian William Ragen - Financial Advisor in Ann Arbor, MI | AdvisorFinder