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Kevin Richard Ragon

Ameriprise Financial Services, LLC

Phoenix, AZ

Peoria, AZ

CRD 2085799

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Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-03-18
  • TX RA
    APPROVED
    Since 2021-03-18

Branch Locations

2398 E Camelback Rd Ste 550, Phoenix, AZ 85016 • United States

Peoria, AZ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Scottsdale AZ 03/2013 11/2016
Wells Fargo Clearing Services, Llc Scottsdale AZ 11/2016 03/2021
Ameriprise Financial Services, Llc Phoenix AZ 03/2021 Present
Previous Registrations
  • 2013-03-20 → 2021-03-25
    Wells Fargo Clearing Services, Llc
    Peoria, AZ
    Scottsdale, AZ
    Peoria, AZ
    Scottsdale, AZ
    Phoenix, AZ
    Phoenix, AZ
    Glendale, AZ
    Scottsdale, AZ
    Glendale, AZ
    Glendale, AZ
  • 2009-06-22 → 2013-03-04
    Edward Jones
    Sun City, AZ
    St Louis, MO
    St Louis, MO
    Peoria, AZ
    Sun City, AZ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-06-11
S63 Uniform Securities Agent State Law Examination 2004-03-29
  • S66 Uniform Combined State Law Examination
    2009-06-11
  • S63 Uniform Securities Agent State Law Examination
    2004-03-29

View on SEC IAPD

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Nearby Offices

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ

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