RR
Roger M. Ramirez
SPC
AVON LAKE, OH 44012
Some features on this profile are disabled
CRD#: 2102115
RR
Professional summary
Roger Michael Ramirez, AIF®, who also goes by Roger M Ramirez, is a registered financial advisor currently at SPC located in Avon Lake, Ohio and SIGMA FINANCIAL CORPORATION located in Avon Lake, Ohio.
Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Roger has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roger M Ramirez
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.
1. DBA - XO FINANCIAL GROUP, LLC, Avon Lake, OH. OFFERS FINANCIAL SERVICES. 2. Mentor Coordinator for local BNI group, True North Networkers. Introduce new members to networking through BNI, their responsibilities and expectations. Start date: 11/1/20, approx. 2 hrs/mo, for a 1 year term. Not investment related. 3. Member - Fundraising Committee for St. Edward High School Athletic Teams, Lakewood, OH. Help with planning fundraising events. Start date: 1/31/22, approx. 1-2 hrs/mo, none during mkt hrs. No access to funds, not investment related. 4. Republican Party Precinct Committee Member - Lorain County, OH. Attend meetings and support candidates by informing precinct constituents of election information. Start date: 1/1/24 for 4 year term. Approx. 2-3 hrs/mo. INV REL: N
CRS (Client Relationship Summary) - RIA
Click below to view Roger Michael Ramirez'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®
Experience
Current
November 13, 2007 - Present
SPC
Office #1: 418 Bounty Way Suite 101, Avon Lake, OH 44012RIA
CRD#: 110692
AVON LAKE, OH
Current
November 2, 2007 - Present
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
AVON LAKE, OH
Past
January 23, 2001 - November 8, 2007
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
CLEVELAND, OH
Past
October 13, 2000 - November 8, 2007
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
CLEVELAND, OH
Past
May 14, 1999 - November 6, 2000
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
Past
March 3, 1995 - May 14, 1999
KEY INVESTMENTS INC.
BD
CRD#: 15873
CLEVELAND, OH
Past
April 15, 1994 - March 3, 1995
SOCIETY INVESTMENTS, INC.
BD
CRD#: 17656
Past
December 6, 1990 - March 31, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Ohio(11/2/2007)
IAR
Ohio(11/13/2007)
IAR
Texas(1/7/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SP
SPC
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
CRD#: 110692 / SEC#: 801-20404
RIA
Registered Investment Advisory firm - (1/11/1984 Approved)Alaska
Registered Investment Advisory firm - (2/13/2002 Cancelled)Arizona
Registered Investment Advisory firm - (2/14/2002 Terminated)California
Registered Investment Advisory firm - (1/17/2002 Cancelled)Colorado
Registered Investment Advisory firm - (2/14/2002 Cancelled)Delaware
Registered Investment Advisory firm - (2/14/2002 Terminated)Hawaii
Registered Investment Advisory firm - (3/19/2002 Terminated)Montana
Registered Investment Advisory firm - (2/12/2002 Terminated)New Hampshire
Registered Investment Advisory firm - (2/14/2002 Terminated)New Mexico
Registered Investment Advisory firm - (2/14/2002 Terminated)New York
Registered Investment Advisory firm - (1/17/2002 Cancelled)Rhode Island
Registered Investment Advisory firm - (3/7/2002 Terminated)Tennessee
Registered Investment Advisory firm - (2/14/2002 Terminated)Utah
Registered Investment Advisory firm - (1/17/2002 Terminated)Wisconsin
Registered Investment Advisory firm - (1/30/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103
Mailing Address
Phone number
(734) 663-1611
Established
Firm type
Fiscal year end
# of Employees
462
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
Red Flags
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Company Information
SPC
CRD#: 110692Avon Lake, OH 44012TRUST BUT VERIFY
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