John R. Ramsay
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.
John Richard Ramsay, who also goes by Jack Ramsay, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2022 - May 23, 2024
LPL FINANCIAL LLC
May 18, 2022 - May 23, 2024
LPL FINANCIAL LLC
August 5, 2009 - May 24, 2022
CUNA BROKERAGE SERVICES, INC.
August 3, 2009 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
January 30, 2008 - May 14, 2008
STRATEGIC ADVISERS LLC
January 9, 2008 - May 14, 2008
FIDELITY BROKERAGE SERVICES LLC
April 26, 2006 - December 17, 2007
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 9, 2005 - December 17, 2007
TD AMERITRADE, INC.
January 27, 2005 - December 17, 2007
TD AMERITRADE, INC.
October 8, 2003 - February 2, 2005
FSC SECURITIES CORPORATION
September 15, 2003 - February 2, 2005
FSC SECURITIES CORPORATION
January 1, 1999 - September 2, 2003
CHARLES SCHWAB & CO., INC.
December 10, 1991 - September 2, 2003
CHARLES SCHWAB & CO., INC.
April 8, 1991 - January 2, 1992
PRINCIPAL SECURITIES, INC.
November 3, 1988 - April 10, 1991
NEW ENGLAND SECURITIES
July 15, 1987 - April 10, 1991
NEW ENGLAND SECURITIES
July 24, 1985 - July 28, 1988
HORNOR, TOWNSEND & KENT, LLC
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
Series 8
Date: 8/16/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
