Moises 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.
Moises Ramos JR, who also goes by Moises Ramos, was a registered financial professional .
Moises is a previously registered financial professional and started their career in finance in 1995. Moises had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2003 - July 29, 2004
SALOMON GREY FINANCIAL CORPORATION
April 3, 2002 - June 18, 2003
WESTMINSTER FINANCIAL SECURITIES, INC.
December 19, 2001 - January 24, 2002
INTERACTIVE PLANNING CORP.
September 7, 2001 - October 17, 2001
AMERICA NORTHCOAST SECURITIES, INC.
March 29, 2001 - May 1, 2001
INVESTORS ST.
July 6, 1999 - January 2, 2001
RURAL SECURITIES, INC.
February 8, 1999 - June 25, 1999
FAS WEALTH MANAGEMENT SERVICES, INC.
August 19, 1997 - December 4, 1998
BARRON CHASE SECURITIES, INC.
July 2, 1997 - August 13, 1997
FAIRCHILD FINANCIAL GROUP, INC.
January 24, 1997 - February 7, 1997
GKN SECURITIES CORP.
April 16, 1996 - January 23, 1997
BARRON CHASE SECURITIES, INC.
September 1, 1995 - May 3, 1996
GKN SECURITIES CORP.
February 7, 1995 - August 8, 1995
BILTMORE SECURITIES, 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
Exams
Current Firm
SALOMON GREY FINANCIAL CORPORATION
CRD#: 43413 / SEC#: , 8-50268
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 5 |
| Financial | 1 |
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.
