Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ricardo? Claim Your ProfileRicardo Ramirez is a financial advisor registered with HSBC Securities (USA) Inc. Ricardo has been in the financial services industry since August 1997. Ricardo is currently registered in 14 states and the District of Columbia. Ricardo has held previous positions with other financial institutions, including Global Investor Services, L.C., Capital Guardian, LLC, Morgan Keegan & Company, Inc., ASD Financial Services Corp, Morgan Stanley DW Inc., Uhlmann Price Securities, LLC, Prudential Securities Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Lehman Brothers Inc. Ricardo is a Series 3, 7 and 66 licensed advisor. Ricardo's specializations include Asset Allocation, Portfolio Management for Pooled Investment Vehicles, and Portfolio Management for Businesses. Ricardo is a licensed investment advisor representative and a registered representative. Ricardo is also registered as an Investment Advisor Representative in Alabama, California, District of Columbia, Florida, Maryland, Michigan, Minnesota, New York, Ohio, and Texas.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
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.
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.
1
2
CA
01/29/2019 - Present
Hsbc Securities (usa) Inc. (BEVERLY HILLS CA)
FL
06/02/2011 - 05/09/2012
GLOBAL INVESTOR SERVICES, L.C. (MIAMI FL)
FL
06/30/2009 - 03/05/2010
CAPITAL GUARDIAN, LLC (MIAMI FL)
TN
05/28/2008 - 04/06/2009
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
FL
04/04/2006 - 09/26/2006
ASD FINANCIAL SERVICES CORP (CORAL GABLES FL)
NY
08/17/2004 - 04/04/2006
MORGAN STANLEY DW INC. (PURCHASE NY)
IL
04/21/2003 - 05/20/2004
UHLMANN PRICE SECURITIES, LLC (SKOKIE IL)
NY
08/27/1997 - 04/25/2001
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/29/1992 - 09/16/1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
04/03/1992 - 08/05/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 07/07/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/01/1992
Series 7 - General Securities Representative Examination
BC
Issued 05/07/1991
Series 3 - National Commodity Futures Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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