Raymond Ramos
Professional summary
Raymond Ramos, who also goes by Ramon Ramos, Ray Ramos, Raymond Ramos, Ray Raymond, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in El Segundo, California and CETERA ADVISORS LLC located in El Segundo, California.
Raymond is registered as a RR (Registered Representative) and started their career in finance in 1991. Raymond has worked at 13 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Raymond Ramos's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 18, 1997 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245Office #2: 2301 Rosecrans Ave #5100, El Segundo, CA 90245April 17, 2001 - Present
CETERA ADVISORS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245April 9, 2010 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245February 4, 2013 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245July 1, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
December 10, 2015 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
May 5, 2003 - December 31, 2003
LOCUST STREET SECURITIES, INC.
November 11, 2002 - February 1, 2010
VOYA FINANCIAL ADVISORS, INC.
April 17, 2001 - December 31, 2003
VESTAX SECURITIES CORPORATION
April 17, 2001 - December 31, 2003
IFG NETWORK SECURITIES, INC.
April 25, 1996 - May 13, 1997
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
March 22, 1996 - April 29, 1996
WM FUND SERVICES, INC.
August 18, 1992 - March 18, 1996
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
July 19, 1991 - November 20, 1991
TITAN/VALUE EQUITIES GROUP, 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
(7/18/1997)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
CETERA FINANCIAL SPECIALISTS LLC
CRD#: 10358 / SEC#: , 8-27082
Contact information
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.
