Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ramona? Claim Your ProfileRamona Locke has been in the financial services industry since 1980. Ramona is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and has been with the firm since 1983. Ramona is registered in 20 states as a broker and in Texas as an Investment Advisor. Ramona is a Series 65 and Series 63 licensed professional. In addition to her brokerage and investment advisor activities, Ramona is also an adjunct professor at Texas Christian University and a Foundation Board member for Ursuline Academy of Dallas.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
TX
08/23/1983 - Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated (DALLAS TX)
IA
Issued 4/15/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/29/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/15/1980
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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