linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Margarita Roman-ramirez

Pershing LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Margarita? Claim Your Profile

About Margarita Roman-ramirez

Margarita Roman-ramirez is a financial advisor with over 10 years of experience in the industry. Margarita is currently registered with Pershing LLC and has previously worked with E D & F MAN CAPITAL MARKETS INC., HAITONG SECURITIES USA LLC, and E.S. FINANCIAL SERVICES, INC. Margarita holds a Series 24, Series 52TO, Series 99TO, SIE, and Series 7 license.

Firm Information

Margarita Roman-ramirez is currently registered with Pershing LLC. Pershing LLC is a Limited Liability Company formed in January 2003. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have one approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

692

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Margarita Roman-ramirez’s Registration & Firm History

NJ

10/24/2019 - Present

Pershing LLC (JERSEY CITY NJ)

NY

09/26/2019 - 10/03/2019

E D & F MAN CAPITAL MARKETS INC. (NEW YORK NY)

NY

09/28/2016 - 09/11/2018

HAITONG SECURITIES USA LLC (New York NY)

NY

03/30/2010 - 09/05/2014

E.S. FINANCIAL SERVICES, INC. (NEW YORK NY)

Not sure if Margarita Roman-ramirez is right for you?

Licenses & Designations

BC

Issued 03/02/2016

Series 24 - General Securities Principal Examination

BC

Issued 07/31/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 09/11/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/29/2010

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Margarita Roman-ramirez.
Not sure if Margarita Roman-ramirez is right for you?