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Christopher Charles Ragan

Cowen AND Co.

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About Christopher Charles Ragan

Christopher Ragan is a financial professional with over 19 years of experience in the industry. Christopher is currently registered with Cowen AND Co. and TD Prime Services LLC. Christopher has a broad range of experience in the financial services industry, having previously held positions with Wells Fargo Securities, LLC, Wells Fargo Prime Services, LLC, Goldman, Sachs & Co., and Banc of America Securities LLC. Christopher holds the Series 7, Series 57TO, Series 99TO, and SIE licenses. Christopher also holds the Series 63 license. Christopher has a strong track record of providing excellent service to clients.

Firm Information

Christopher Ragan is currently registered with Cowen AND Co.. Cowen AND Co. is a Limited Liability Company that was formed on January 15, 2004. The firm is registered in 53 states and the SEC and offers advisory services. Cowen AND Co. has been involved in 46 regulatory events and 8 arbitration cases.

Not reported

Assets Under Management

Not reported

Total Clients

142

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Christopher Ragan’s Registration & Firm History

NY

03/01/2023 - Present

Cowen AND Co. (NEW YORK NY)

NY

09/18/2014 - 04/14/2017

WELLS FARGO SECURITIES, LLC (NEW YORK NY)

NY

08/28/2014 - 04/14/2017

WELLS FARGO PRIME SERVICES, LLC (NEW YORK NY)

NY

06/13/2005 - 06/23/2014

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

11/14/2003 - 06/09/2005

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/12/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/13/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Christopher Charles Ragan.
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