Joseph Ramos
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.
Joseph Ramos, who also goes by Joseph Dennis Ramos, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1987. Joseph had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7 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
September 28, 2016 - March 9, 2018
SCOTTRADE INVESTMENT MANAGEMENT
May 15, 2013 - March 9, 2018
SCOTTRADE, INC.
September 15, 2011 - August 13, 2012
BLUEROCK CAPITAL MARKETS LLC
May 12, 2009 - August 9, 2011
TD AMERITRADE, INC.
May 12, 2009 - August 9, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 12, 2009 - August 9, 2011
TD AMERITRADE, INC.
March 30, 2009 - May 15, 2009
U.S. SELECT SECURITIES LLC
January 18, 2005 - January 6, 2009
PACIFIC CORNERSTONE CAPITAL INCORPORATED
June 8, 2004 - November 15, 2004
TD AMERITRADE, INC.
April 20, 2004 - November 15, 2004
TD AMERITRADE, INC.
March 11, 2002 - December 6, 2002
QUICK & REILLY, INC.
August 30, 1993 - February 28, 2002
CHARLES SCHWAB & CO., INC.
November 26, 1991 - September 9, 1993
GRIFFIN FINANCIAL SERVICES
May 3, 1991 - November 19, 1991
CHARLES SCHWAB & CO., INC.
July 21, 1988 - July 3, 1990
CREDIT SUISSE SECURITIES (USA) LLC
December 14, 1987 - May 23, 1988
CROWELL, WEEDON & CO.
July 21, 1987 - August 25, 1987
GLOBALVEST SECURITIES, (USA), 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: 10/14/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SCOTTRADE INVESTMENT MANAGEMENT
CRD#: 169988 / SEC#: 801-79217
Contact information
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.
