Moses A. Ramirez
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.
Moses Ahumada Ramirez JR, who also goes by Moses Ahumada Ramirez Jr., was a registered financial professional .
Moses is a previously registered financial professional and started their career in finance in 1983. Moses had worked at 11 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2017 - September 30, 2022
U.S. BANCORP ADVISORS, LLC
June 8, 2017 - September 30, 2022
U.S. BANCORP ADVISORS, LLC
January 17, 2013 - June 2, 2017
INVEST FINANCIAL CORPORATION
April 30, 2007 - June 2, 2017
INVEST FINANCIAL CORPORATION
August 17, 2005 - April 30, 2007
PFIC SECURITIES CORPORATION
August 11, 2000 - August 17, 2005
FISERV INVESTOR SERVICES, INC.
July 30, 1999 - August 9, 2000
U.S. BANCORP ADVISORS, LLC
January 1, 1999 - August 23, 1999
WAMU INVESTMENTS, INC.
March 24, 1998 - January 1, 1999
GRIFFIN FINANCIAL SERVICES
January 27, 1993 - February 20, 1998
GLENFED BROKERAGE SERVICES
April 5, 1990 - November 18, 1992
SCOTTRADE, INC.
May 8, 1989 - April 12, 1990
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
May 4, 1989 - May 15, 1989
BA INVESTMENT SERVICES, INC.
September 28, 1987 - May 15, 1989
BA INVESTMENT SERVICES, INC.
May 26, 1983 - February 19, 1986
SPEAR INSURANCE SERVICES, INC.
Primary Firm SEC Registration
U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
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
U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | SOLE MEMBER | |
| BEJASA, EILEEN | SENIOR VICE PRESIDENT AND MANAGING DIRECTOR, BROKER-DEALER OPERATIONS | 7002808 |
| CANEVA, DANIEL CESAR | SVP CHIEF OPERATIONS OFFICER | 1686099 |
| CLARK, SHANNON KEITH | CHIEF FINANCIAL OFFICER | 5829700 |
| ELY, JAMES EUGENE JR. | SENIOR VICE PRESIDENT - SALES | 1843373 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND MANAGER | 4120145 |
| LAWLOR, BETH DEDRICK | EXECUTIVE VICE PRESIDENT | 5352662 |
| ROLLAND, JODI THOMPSON | MANAGER | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER | 5025315 |
| TRIPLETT, SHANE T | INSTITUTIONAL SALES MANAGER | 1865319 |
Regulatory assets under management
| Total Number of Accounts | 3,905 |
| AUM (Assets Under Management) | $ 1,516,483,817 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/19/2025 | ||
| 08/20/2024 | ||
| 11/28/2023 | ||
| 11/21/2023 |
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.
