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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samuel? Claim Your ProfileSamuel Ramos is a financial advisor at LPL Financial LLC. Samuel has been in the financial services industry since 2000. Samuel has a broad range of experience, including working with clients on their financial planning, investment management, and retirement planning needs. Samuel is committed to helping clients reach their financial goals. Samuel has a Series 7 and Series 66 license, and has a Certified Financial Planner designation. Samuel is also registered with the state of California as a Registered Investment Advisor.
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
01/01/2025 - Present
LPL Financial LLC (ORANGE CA)
CA
01/08/2019 - 11/03/2023
CITY NATIONAL SECURITIES, INC. (IRVINE CA)
CA
07/12/2005 - 01/07/2019
UNIONBANC INVESTMENT SERVICES, LLC (LAGUNA HILLS CA)
CA
08/10/2000 - 01/27/2005
WM FINANCIAL SERVICES, INC. (IRVINE CA)
NY
01/28/2000 - 07/03/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
CA
07/22/1999 - 10/18/1999
INTERFIRST CAPITAL CORPORATION (LOS ANGELES CA)
BOTH
Issued 02/11/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/26/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/21/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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