Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samuel? Claim Your ProfileSamuel Ramli is an investment professional with over 20 years of experience in the financial services industry. Samuel currently holds active licenses and registrations in California and Texas, and has previously worked for UBS Financial Services Inc., J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Banc of America Investment Services, Inc., Citigroup Investment Services, and WMA Securities, Inc. Samuel's professional experience spans various roles, including Financial Advisor and Investment Advisor Representative, where he has served clients across different asset classes and investment strategies. Samuel is registered with Wells Fargo Clearing Services, LLC.
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.
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.
Investment consulting services to institutional clients
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
CA
10/04/2024 - Present
Wells Fargo Clearing Services, LLC (WESTLAKE VILLAGE CA)
CA
07/14/2016 - 09/27/2017
UBS FINANCIAL SERVICES INC. (WESTLAKE VILLAGE CA)
CA
10/16/2015 - 07/14/2016
J.P. MORGAN SECURITIES LLC (THOUSAND OAKS CA)
CA
10/23/2009 - 11/21/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WESTLAKE VILLAGE CA)
CA
03/03/2005 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (WESTLAKE VILLAGE CA)
NY
07/25/2003 - 02/02/2005
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NY
11/20/2000 - 02/03/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
GA
07/21/2000 - 08/29/2000
WMA SECURITIES, INC. (DULUTH GA)
IA
Issued 08/06/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/21/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/11/2006
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/2000
Series 7 - General Securities Representative Examination
BC
Issued 07/20/2000
Series 6 - Investment Company Products/Variable Contracts 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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