Ramon G. Evangelista
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.
Ramon Gomez Evangelista, who also goes by Ramon Evangelista, Ray Evangelista, was a registered financial professional .
Ramon is a previously registered financial professional and started their career in finance in 1991. Ramon had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2014 - November 22, 2017
LPL FINANCIAL LLC
November 28, 2014 - November 22, 2017
LPL FINANCIAL LLC
August 29, 2011 - November 21, 2014
CUSO FINANCIAL SERVICES, L.P.
August 26, 2011 - November 21, 2014
CUSO FINANCIAL SERVICES, L.P.
January 30, 2009 - September 2, 2011
LPL FINANCIAL LLC
January 29, 2009 - September 2, 2011
LPL FINANCIAL LLC
January 5, 2007 - January 28, 2009
ZIONS CAPITAL ADVISORS, INC.
April 27, 2006 - December 31, 2006
ZIONS DIRECT, INC.
April 27, 2006 - January 28, 2009
ZIONS DIRECT, INC.
June 7, 2005 - May 1, 2006
CUE FINANCIAL GROUP, INC.
June 7, 2005 - May 1, 2006
CUE FINANCIAL GROUP, INC.
March 11, 2005 - May 20, 2005
IFMG SECURITIES, INC.
March 10, 2005 - May 20, 2005
IFMG SECURITIES, INC.
July 19, 2004 - December 7, 2004
U.S. BANCORP INVESTMENTS, INC.
June 2, 2004 - June 18, 2004
CUSO FINANCIAL SERVICES, L.P.
September 8, 2003 - June 2, 2004
U.S. BANCORP INVESTMENTS, INC.
August 28, 2001 - March 28, 2002
WELLS FARGO INVESTMENTS, LLC
July 12, 1999 - July 12, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 20, 1994 - July 12, 1999
BA INVESTMENT SERVICES, INC.
January 10, 1994 - July 18, 1994
A. G. EDWARDS & SONS, INC.
June 24, 1991 - January 18, 1994
F.N. WOLF & CO., INC.
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
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.
