Frank R. 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.
Frank Richard Ramirez, who also goes by Frank Ramirez, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1987. Frank had worked at 6 firms and has passed the Series 63, 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
July 13, 2012 - November 16, 2012
FINANCIAL WEST GROUP
May 2, 1995 - October 24, 1997
FIRST SOUTHWEST COMPANY, LLC
February 26, 1993 - May 5, 1995
ALEX. BROWN & SONS INCORPORATED
January 20, 1993 - March 16, 1993
GOLDEN GATE SECURITIES LLC
October 1, 1991 - January 26, 1993
MMAR GROUP, INC.
April 23, 1987 - October 8, 1991
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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