Carlos D. Ramirez
Professional summary
Carlos David Ramirez, who also goes by Carlos D Ramirez, Carlos David Ramirez, Dave Ramirez, is a registered financial professional currently at LIQUIDNET, INC. located in New York, New York.
Carlos is registered as a RR (Registered Representative) and started their career in finance in 1997. Carlos has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carlos David Ramirez's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 12, 2025 - Present
LIQUIDNET, INC.
Office #1: 200 Vesey Street 5th Floor, New York, NY 10281January 4, 2021 - May 27, 2025
INSTINET, LLC
October 31, 2012 - December 24, 2020
WOLFE RESEARCH SECURITIES
February 10, 2010 - November 5, 2012
B. RILEY SECURITIES, INC.
April 21, 2009 - February 2, 2010
COWEN SECURITIES LLC
March 27, 2007 - February 26, 2009
SUSQUEHANNA FINANCIAL GROUP, LLLP
March 26, 2007 - December 2, 2008
SAL EQUITY TRADING, GP
April 21, 1998 - March 20, 2007
PRUDENTIAL EQUITY GROUP, LLC
December 15, 1997 - February 2, 1998
NATWEST SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/12/2025)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/29/2002
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
LIQUIDNET, INC.
CRD#: 103987 / SEC#: , 8-52461
Contact information
FINRA licenses (16 States and Territories)
Documents
Disclosures
| Regulatory Event | 10 |
Red Flags
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