Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Ramos is a financial advisor at LPL Financial LLC in Delano, California. Richard has been in the financial services industry since 2010 and is registered with the state of California. Richard holds Series 6, 7, 63, and 66 licenses and is also a Certified Financial Planner. Richard has experience working with individuals, businesses, corporations, and charitable organizations.
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.
Consulting and other non-discretionary advisory services
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.
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2
CA
10/03/2016 - Present
LPL Financial LLC (DELANO CA)
CA
11/18/2014 - 10/12/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BAKERSFIELD CA)
CA
05/11/2012 - 02/14/2013
MORGAN STANLEY (BAKERSFIELD CA)
CA
03/30/2011 - 12/05/2011
NYLIFE SECURITIES LLC (FRESNO CA)
CA
12/16/2010 - 01/21/2011
PRUCO SECURITIES, LLC. (BAKERSFIELD CA)
CA
02/08/2010 - 12/21/2010
NYLIFE SECURITIES LLC (BAKERSFIELD CA)
BOTH
Issued 06/14/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/06/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/10/2012
Series 7 - General Securities Representative Examination
BC
Issued 02/06/2010
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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