Roy L. Ramos

COPPELL ADVISORY SOLUTIONS LLC

Stockton, CA 95219

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CRD#: 2507211

Professional summary

Roy Laroza Ramos, who also goes by Arleen Ramos, is a registered financial advisor currently at COPPELL ADVISORY SOLUTIONS LLC located in Stockton, California.

Roy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Roy has worked at 6 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Arleen 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.

1.) RMME, Inc., not Investment Related, Stockton, CA, Real Estate Agent, Start Date:05/2012, approx. 160 hours/month with 160 hours/month during securities trading hours, real estate agent duties

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy Laroza Ramos's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 5, 2022 - Present

COPPELL ADVISORY SOLUTIONS LLC

Office #1: 3244 Brookside Rd., Suite 140, Stockton, CA 95219

RIA

CRD#: 156549

Stockton, CA

Past

January 2, 2002 - October 10, 2002

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LINCOLN, NE

Past

October 23, 2001 - November 15, 2001

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

December 11, 1996 - April 30, 1999

PROACTIVE INVESTORS GROUP, LLC

CRD#: 41368

HAYWARD, CA

Past

December 2, 1994 - December 5, 1996

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

August 8, 1994 - December 21, 1994

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

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".

COPPELL ADVISORY SOLUTIONS LLC

CRD#: 156549 / SEC#: 801-72171

RIA

Registered Investment Advisory firm - (2/28/2011 Approved)

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.

Highlighted states indicate IAR registrations

IAR

California
(1/5/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/19/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 10/22/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

COPPELL ADVISORY SOLUTIONS LLC

CRD#: 156549 / SEC#: 801-72171

RIA

Registered Investment Advisory firm - (2/28/2011 Approved)

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Contact information

Main Address

9111 Cypress Waters Blvd Suite 140, Dallas, TX 75019

Mailing Address

Phone number

(817) 888-8020

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (50 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FUSION FORM ADV PART 2A BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	9,334
AUM (Assets Under Management)	$ 1,077,958,560

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.

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Roy L. Ramos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy Laroza Ramos's CRS (Customer Relationship Summary).

Certified licenses

Experience

COPPELL ADVISORY SOLUTIONS LLC

ALLSTATE FINANCIAL SERVICES, LLC

NYLIFE SECURITIES LLC

PROACTIVE INVESTORS GROUP, LLC

CETERA WEALTH SERVICES, LLC

WMA SECURITIES, INC.

Primary Firm SEC Registration

COPPELL ADVISORY SOLUTIONS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/19/2001

Series 6

Date: 10/22/2001

Current Firm

COPPELL ADVISORY SOLUTIONS LLC

Contact information

SEC notice filing (50 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COPPELL ADVISORY SOLUTIONS LLC

TRUST BUT VERIFY

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