Richard Jaramillo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Jaramillo, who also goes by Sonny Jaramillo, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1988. Richard had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2019 - November 30, 2022
OSAIC INSTITUTIONS, INC.
August 1, 2019 - November 30, 2022
OSAIC INSTITUTIONS, INC.
March 22, 2019 - June 26, 2019
PFS INVESTMENTS INC.
February 12, 2019 - June 26, 2019
PFS INVESTMENTS INC.
September 17, 2013 - December 31, 2018
LPL FINANCIAL LLC
September 11, 2013 - December 31, 2018
LPL FINANCIAL LLC
October 15, 2010 - November 7, 2012
PNC MANAGED ACCOUNT SOLUTIONS, INC.
March 26, 2010 - October 15, 2010
ST JOHNS WEALTH MANAGEMENT
November 19, 2009 - March 10, 2010
BBVA COMPASS INVESTMENT SOLUTIONS, INC
May 12, 2008 - November 7, 2012
BBVA COMPASS INVESTMENT SOLUTIONS, INC
September 11, 2003 - May 2, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
October 1, 2001 - September 15, 2003
BNY MELLON SECURITIES LLC
July 26, 2001 - October 1, 2001
NATHAN & LEWIS SECURITIES, INC.
July 18, 1988 - June 14, 2001
PFS INVESTMENTS INC.
Primary Firm SEC Registration
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
OSAIC INSTITUTIONS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
