Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Osvaldo? Claim Your ProfileOsvaldo Ramos is a financial professional with over 25 years of experience in the industry. Osvaldo has a strong track record of success in providing investment advice and guidance to clients. Osvaldo is currently registered with UBS Securities LLC. Prior to joining UBS Securities LLC, Osvaldo worked at Barclays Capital Inc, Lehman Brothers Inc, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Salomon Brothers Inc. Osvaldo holds the Series 7, Series 24, Series 63, and Series 79TO licenses. Osvaldo is also registered with the following states: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.
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.
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.
1
2
NY
08/16/2023 - Present
UBS Securities LLC (New York NY)
NY
09/22/2008 - 08/24/2023
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
11/17/2000 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
10/02/1998 - 10/05/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
11/28/1997 - 05/12/1998
SMITH BARNEY INC. (NEW YORK NY)
NY
10/06/1997 - 05/12/1998
SALOMON BROTHERS INC. (NEW YORK NY)
BC
Issued 10/24/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/19/2007
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/03/1997
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
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
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