Edgar Ramirez
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.
Edgar Ramirez was a registered financial professional .
Edgar is a previously registered financial professional and started their career in finance in 1996. Edgar had worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2019 - August 29, 2024
NYLIFE SECURITIES LLC
December 16, 2016 - December 27, 2018
TIGRESS FINANCIAL PARTNERS, LLC
March 23, 2016 - September 15, 2016
AEGIS CAPITAL CORP.
June 12, 2015 - January 5, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 17, 2014 - May 28, 2015
RBC CAPITAL MARKETS, LLC
January 17, 2014 - May 28, 2015
RBC CAPITAL MARKETS, LLC
September 20, 2010 - September 22, 2010
UBS FINANCIAL SERVICES INC.
September 20, 2010 - February 4, 2014
BARCLAYS CAPITAL INC.
September 17, 2010 - February 4, 2014
BARCLAYS CAPITAL INC.
January 1, 2010 - September 22, 2010
UBS FINANCIAL SERVICES INC.
June 22, 2007 - January 1, 2010
UBS INTERNATIONAL INC.
February 28, 2001 - July 6, 2007
CITIGROUP GLOBAL MARKETS INC.
January 10, 2001 - February 6, 2001
PERSHING LLC
August 21, 2000 - November 10, 2000
CREDIT SUISSE CAPITAL LLC
July 25, 2000 - August 21, 2000
CREDIT SUISSE SECURITIES (USA) LLC
May 15, 1996 - November 23, 1999
JPMSI
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
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
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.
