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Richard Mark Kagan

THE Leaders Group, Inc.

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About Richard Mark Kagan

Richard Mark Kagan is a financial professional with over 50 years of experience in the industry. Richard is currently registered with The Leaders Group, Inc. in Littleton, Colorado. Richard has also held prior registrations with several firms including MML Investors Services, LLC, Pruco Securities Corporation, G.R. Phelps & Co., Inc., and American Variable Annuity Life Assurance Company. Richard holds Series 1, 6TO, and SIE licenses as well as the Uniform Securities Agent State Law Examination (Series 63). Richard is currently registered in California, Hawaii, and Nevada.

Firm Information

Richard Kagan is currently registered with THE Leaders Group, Inc.. THE Leaders Group, Inc. is a Corporation registered in 52 states and the District of Columbia, with an approved SEC registration. Formed on July 14, 1994, the firm has a history of providing financial services.

Not reported

Assets Under Management

Not reported

Total Clients

854

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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Richard Kagan’s Registration & Firm History

CO

06/27/2023 - Present

THE Leaders Group, Inc. (LITTLETON CO)

CO

01/20/2015 - 12/31/2022

THE LEADERS GROUP, INC. (LITTLETON CO)

CA

05/17/1996 - 02/02/2015

MML INVESTORS SERVICES, LLC (LOS ANGELES CA)

NJ

01/01/1988 - 01/16/2002

PRUCO SECURITIES CORPORATION (NEWARK NJ)

NA

06/08/1971 - 12/31/1992

G. R. PHELPS & CO., INC.

NA

03/09/1970 - 02/04/1971

AMERICAN VARIABLE ANNUITY LIFE ASSURANCE COMPANY

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Licenses & Designations

BC

Issued 03/19/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/02/1970

Series 1 - Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Richard Mark Kagan.
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