LR
Lawrence G. Ramos
CETERA WEALTH SERVICES
SAN DIEGO, CA 92101
Some features on this profile are disabled
CRD#: 1741704
LR
Professional summary
Lawrence Gary Ramos, who also goes by Gary Espana Ramos, Gary Lawrence Ramos, Lawrence Gary Ramos, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in San Diego, California and CETERA ADVISORS LLC located in San Diego, California.
Lawrence is registered as a RR (Registered Representative) and started their career in finance in 1988. Lawrence has worked at 11 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Gary Espana Ramos | Gary Lawrence Ramos | Lawrence Gary Ramos
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Lawrence Gary Ramos's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 19, 2016 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101BD
CRD#: 13572
SAN DIEGO, CA
Current
July 7, 2019 - Present
CETERA ADVISORS LLC
Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101BD
CRD#: 10299
SAN DIEGO, CA
Current
August 25, 2022 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101BD
CRD#: 15340
SAN DIEGO, CA
Current
August 25, 2022 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 655 W Broadway12th Fl, San Diego, CA 92101BD
CRD#: 10358
SAN DIEGO, CA
Past
August 19, 2015 - November 1, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
SAN DIEGO, CA
Past
May 5, 2005 - June 13, 2005
ROUND HILL SECURITIES, INC.
BD
CRD#: 35223
ALAMO, CA
Past
October 8, 2002 - May 25, 2004
WELLS FARGO INVESTMENT SERVICES, LLC
BD
CRD#: 43882
SEATTLE, WA
Past
October 30, 1998 - January 12, 2005
WESTERN SECURITIES CLEARING CORP.
BD
CRD#: 36427
SAN DIEGO, CA
Past
December 15, 1994 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SAN DIEGO, CA
Past
May 31, 1989 - December 20, 1994
FIRST AFFILIATED SECURITIES
BD
CRD#: 23737
LA JOLLA, CA
Past
October 19, 1988 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
BD
CRD#: 6871
SAN DIEGO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/1/2024)
RR
Alaska(2/1/2024)
RR
Arizona(2/1/2024)
RR
Arkansas(2/1/2024)
RR
California(9/8/2022)
RR
Colorado(2/1/2024)
RR
Connecticut(2/1/2024)
RR
Delaware(2/1/2024)
RR
District of Columbia(2/1/2024)
RR
Florida(2/1/2024)
RR
Georgia(2/1/2024)
RR
Hawaii(2/1/2024)
RR
Idaho(2/1/2024)
RR
Illinois(2/1/2024)
RR
Indiana(2/1/2024)
RR
Iowa(2/1/2024)
RR
Kansas(2/1/2024)
RR
Kentucky(2/1/2024)
RR
Louisiana(2/1/2024)
RR
Maine(2/1/2024)
RR
Maryland(2/1/2024)
RR
Massachusetts(2/1/2024)
RR
Michigan(2/1/2024)
RR
Minnesota(2/1/2024)
RR
Mississippi(2/1/2024)
RR
Missouri(2/1/2024)
RR
Montana(2/1/2024)
RR
Nebraska(2/1/2024)
RR
Nevada(2/1/2024)
RR
New Hampshire(2/1/2024)
RR
New Jersey(2/1/2024)
RR
New Mexico(2/1/2024)
RR
New York(2/1/2024)
RR
North Carolina(2/1/2024)
RR
North Dakota(2/1/2024)
RR
Ohio(2/1/2024)
RR
Oklahoma(2/1/2024)
RR
Oregon(9/8/2022)
RR
Pennsylvania(2/1/2024)
RR
Puerto Rico(2/1/2024)
RR
Rhode Island(2/1/2024)
RR
South Carolina(2/1/2024)
RR
South Dakota(2/1/2024)
RR
Tennessee(2/1/2024)
RR
Texas(2/1/2024)
RR
Utah(2/1/2024)
RR
Vermont(2/1/2024)
RR
Virgin Islands(2/1/2024)
RR
Virginia(2/1/2024)
RR
Washington(9/8/2022)
RR
West Virginia(2/1/2024)
RR
Wisconsin(2/1/2024)
RR
Wyoming(2/1/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/2/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CF
CETERA FINANCIAL SPECIALISTS LLC
CETERA FINANCIAL BROKERAGE SERVICES | TERRA SECURITIES CORPORATION | GENWORTH FINANCIAL SECURITIES CORPORATION | GENWORTH FINANCIAL BROKERAGE SERVICES | CETERA FINANCIAL SPECIALISTS LLC
CRD#: 10358 / SEC#: , 8-27082
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173
Mailing Address
1450 American Lane 6th Floor, Suite #650, Schaumburg, IL 60173
Phone number
(888) 528-2987
Established
Delaware since 10/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BANKS, ELAYNE CAMILLE | VICE PRESIDENT | 3070202 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| KRUEGER, RONALD GEORGE | MANAGER, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 2651416 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| ROTHENBERG, JON HOWARD | VICE PRESIDENT | 2737327 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
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.
