Mark 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.
Mark Ramos, who also goes by Mark Kevin Ramos, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1994. Mark had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2019 - September 16, 2025
EAGLE STRATEGIES LLC
June 6, 2019 - September 16, 2025
NYLIFE SECURITIES LLC
December 24, 2013 - August 28, 2017
MML INVESTORS SERVICES, LLC
August 20, 2013 - August 28, 2017
MML INVESTORS SERVICES, LLC
November 5, 2010 - July 22, 2013
PRUCO SECURITIES, LLC.
October 7, 2010 - July 22, 2013
PRUCO SECURITIES, LLC.
June 14, 2007 - September 27, 2010
LPL FINANCIAL LLC
June 14, 2007 - September 27, 2010
LPL FINANCIAL LLC
April 4, 2005 - June 19, 2007
WAMU INVESTMENTS, INC.
April 4, 2005 - June 19, 2007
WAMU INVESTMENTS, INC.
December 3, 2003 - November 16, 2004
CITICORP INVESTMENT SERVICES
December 3, 2003 - November 16, 2004
CITICORP INVESTMENT SERVICES
May 30, 2002 - March 12, 2003
EDWARD JONES
August 24, 1998 - May 30, 2002
MORGAN STANLEY DW INC.
September 13, 1996 - May 30, 2002
MORGAN STANLEY DW INC.
May 20, 1994 - August 30, 1996
GATEWAY INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
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
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
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.
