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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

Brian William Ragen

Advisor at CONCORDE ASSET MANAGEMENT, LLC

Atlanta, GA | ANN ARBOR, MI

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Search this name across graphsid dfx:ria:c635f9f0-fa5c-5c5c-4fd0-43ffcdf7e792

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Sep 29, 2006 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CONCORDE ASSET MANAGEMENT, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 25, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Jun 25, 1990
First registration: Sep 29, 2006
Dual registered: yes, broker-dealer
Other names: BRIAN RAGEN
IAPD individual key: 1822796

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CONCORDE ASSET MANAGEMENT, LLC	Bd affiliated wealth	Mar 19, 2018	n/a	yes	ANN ARBOR, MI\|Atlanta, GA	Current employment
TRIAD ADVISORS, LLC	Former SEC adviser	Oct 23, 2012	Mar 6, 2018	no	ATLANTA, GA	Previous registration
L.M. KOHN & COMPANY	Former SEC adviser	Feb 3, 2012	May 21, 2012	no	ATLANTA, GA\|CINCINNATI, OH\|CINCINNATI, OH	Previous registration
MIDSOUTH CAPITAL, INC.	n/a	Jan 16, 2008	Jan 25, 2012	no	ATLANTA, GA\|ATLANTA, GA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Dec 21, 2007	no	ATLANTA, GA	Previous registration
MORGAN STANLEY DW INC.	n/a	Sep 29, 2006	Apr 2, 2007	no	ATLANTA, GA\|ATLANTA, GA\|ATLANTA, GA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TRIAD ADVISORS, LLC	CONCORDE ASSET MANAGEMENT, LLC	Mar 6, 2018	Mar 19, 2018	13	Firm change	Other
L.M. KOHN & COMPANY	TRIAD ADVISORS, LLC	May 21, 2012	Oct 23, 2012	155	Firm change	Other
MIDSOUTH CAPITAL, INC.	L.M. KOHN & COMPANY	Jan 25, 2012	Feb 3, 2012	9	Firm change	Other
MORGAN STANLEY & CO. LLC	MIDSOUTH CAPITAL, INC.	Dec 21, 2007	Jan 16, 2008	26	Firm change	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Relationships

Registered with (6)

→ CONCORDE ASSET MANAGEMENT, LLCRegistered adviserregistration: current employment
Mar 19, 2018 to presentfactForm ADV
→ TRIAD ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 23, 2012 to Mar 6, 2018factForm ADV
→ L.M. KOHN & COMPANYRegistered adviserregistration: previous registration
Feb 3, 2012 to May 21, 2012factForm ADV
→ MIDSOUTH CAPITAL, INC.Registered adviserregistration: previous registration
Jan 16, 2008 to Jan 25, 2012factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Dec 21, 2007factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Sep 29, 2006 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.