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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charlie? Claim Your ProfileCharlie Abraham Ramos is an investment advisor with Morgan Stanley. Charlie is a Series 3, 7, 9, 10 and 66 licensed individual who has been in the industry since April of 2003. Charlie has been registered with Morgan Stanley since June of 2009, and prior to that worked with CITIGROUP GLOBAL MARKETS INC., MORGAN STANLEY DW INC., and UBS FINANCIAL SERVICES INC.. Charlie is registered with the Securities and Exchange Commission (SEC), and has registrations in 40 states.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
03/11/2020 - Present
Morgan Stanley (Menlo Park CA)
CA
01/30/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (MENLO PARK CA)
NY
10/19/2005 - 01/30/2006
MORGAN STANLEY DW INC. (PURCHASE NY)
NJ
04/10/2003 - 10/14/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
BOTH
Issued 01/28/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/06/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/18/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/07/2006
Series 3 - National Commodity Futures Examination
BC
Issued 04/08/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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