Jose G. Ramirez
Professional summary
Jose Gabriel Ramirez JR was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jose is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Jose had worked at 3 firms, which includes UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO, UBS FINANCIAL SERVICES INC., PRUDENTIAL EQUITY GROUP LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 1997 - February 12, 2014
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
March 5, 1997 - February 12, 2014
UBS FINANCIAL SERVICES INC.
February 14, 1990 - February 20, 1997
PRUDENTIAL EQUITY GROUP, LLC
June 24, 1986 - August 29, 1988
UBS FINANCIAL SERVICES INC.
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: 3/2/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
CRD#: 13042 / SEC#: , 8-28475
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 43 |
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.
