RR
Richard W. Ramsay
J. W. COLE ADVISORS
Mahtomedi, MN 55115
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CRD#: 2580558
RR
Professional summary
Richard Wayne Ramsay, who also goes by Rich Ramsay, Richard Wayne Ramsey, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Mahtomedi, Minnesota and J.W. COLE FINANCIAL, INC. located in Mahtomedi, Minnesota.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Richard has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rich Ramsay | Richard Wayne Ramsey
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) RAMSAY & ASSOCIATES, LTD - CPA FOR ACCOUNTING, TAX & CONSULTING SERVICES. (2) FIXED INSURANCE PRODUCTS - LICENSED AGENT. (3) MANITOU CROSSINGS - PARTNER/MANAGER OF REAL ESTATE. (4) 1614, LLC - PARTNER INVOLVED WITH COMMERCIAL AND RESIDENTIAL RENTAL PROPERTY. (5) ROTARY DISTRICT GRANT COMMITTEE - TREASURER. (6) CHRISTIAN SCIENCE CHURCH - TREASURER AND BOARD MEMBER. (7) DBA Ramsay Wealth Management, Ltd.; INVESTMENT RELATED; 1620 Mahtomedi Avenue; DBA FINANCIAL PLANNING; PRESIDENT; Start date 11/2/2017; 130 HRS/MO ALL DURING TRADING HRS (8) Rotary District 5960; Not investment related; Non-profit; 1620 Mahtomedi Ave, Mahtomedi, MN 55115; Treasurer & Board Member; Look over financial statement and attend board meetings, sign checks as a second signer; Start 9/5/2023; 1 hour/mo. during trading. (9) Ramsay Capital Group, Ltd; Financial Services; 1620 Mahtomedi Ave, Mahtomedi MN 55115; Investment Related; Registered Investment Advisor Representative; Financial Planning; Start 9/19/2024; 160 hours /month, 160 hours/month during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Wayne Ramsay'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®
NoneExperience
Current
November 2, 2017 - Present
J. W. COLE ADVISORS, INC.
Office #1: 1620 Mahtomedi Avenue, Mahtomedi, MN 55115RIA
CRD#: 112294
Mahtomedi, MN
Current
November 1, 2017 - Present
J.W. COLE FINANCIAL, INC.
Office #1: 1620 Mahtomedi Avenue, Mahtomedi, MN 55115BD
CRD#: 124583
Mahtomedi, MN
Past
November 27, 2001 - November 1, 2017
SII INVESTMENTS, INC.
RIA
CRD#: 2225
MAHTOMEDI, MN
Past
November 27, 2001 - November 1, 2017
SII INVESTMENTS, INC.
BD
CRD#: 2225
MAHTOMEDI, MN
Past
January 27, 1995 - November 30, 2001
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
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".
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
RIA
Registered Investment Advisory firm - (11/23/2001 Approved)Arizona
Registered Investment Advisory firm - (12/4/2001 Terminated)Florida
Registered Investment Advisory firm - (12/5/2001 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
Arizona(11/1/2017)
RR
California(11/1/2017)
RR
Minnesota(11/1/2017)
IAR
Minnesota(11/2/2017)
RR
Montana(11/2/2017)
RR
North Carolina(11/1/2017)
RR
Wisconsin(11/1/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
RIA
Registered Investment Advisory firm - (11/23/2001 Approved)Arizona
Registered Investment Advisory firm - (12/4/2001 Terminated)Florida
Registered Investment Advisory firm - (12/5/2001 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634
Mailing Address
Phone number
(813) 935-6776
Established
Firm type
Fiscal year end
# of Employees
512
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,614 |
| AUM (Assets Under Management) | $ 7,195,237,282 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
