Ernesto D. Ramirez

LPL ENTERPRISE

ORLANDO, FL 32839

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CRD#: 2787283

Professional summary

Ernesto D Ramirez, who also goes by Ernesto David Ramirez, Ernesto Ramirez, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Orlando, Florida.

Ernesto is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Ernesto has worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ernesto David Ramirez | Ernesto Ramirez

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.

VENETIA CONDOMINIUM ASSOCIATION POSITION: Member of the Venetia Condominium Association Finance Committee NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2022 ADDRESS: 555 NE 15th ST, MIAMI FL 33134, United States DESCRIPTION: Assist the Board as a Committee Member in understanding/interpreting items related to the financial health of the association, review monthly expenditures, and make recommendations alongside other members (of the committee) to the Board on an informational basis.Does NOT include: check writing, contract signing, nor any direct decision making on behalf of the board.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ernesto D Ramirez's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Ernesto D Ramirez'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

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 4700 Millenia Boulevard Suite 310, Orlando, FL 32839

RIA

CRD#: 8733

ORLANDO, FL

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 4700 Millenia Boulevard Suite 310, Orlando, FL 32839

RIA

CRD#: 8733

ORLANDO, FL

Past

December 5, 2019 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Miami, FL

Past

December 4, 2019 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Miami, FL

Past

April 11, 2018 - December 2, 2019

ONEAMERICA SECURITIES, INC.

RIA

CRD#: 4173

Coral Gables, FL

Past

March 14, 2018 - December 2, 2019

ONEAMERICA SECURITIES, INC.

CRD#: 4173

Coral Gables, FL

Past

October 1, 2012 - May 3, 2017

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

MIAMI, FL

Past

October 1, 2012 - May 3, 2017

J.P. MORGAN SECURITIES LLC

CRD#: 79

MIAMI, FL

Past

July 17, 2008 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

JACKSON HEIGHTS, NY

Past

September 7, 2004 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

JACKSON HEIGHTS, NY

Past

July 22, 2003 - September 7, 2004

CLARK STREET CAPITAL, INC.

CRD#: 38304

LEVITTOWN, NY

Past

July 10, 2003 - July 30, 2003

INDIANAPOLIS SECURITIES, INC.

CRD#: 10399

VALLEY STREAM, NY

Past

July 10, 2002 - July 16, 2003

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

February 21, 2001 - June 11, 2002

BERRY-SHINO SECURITIES, INC.

CRD#: 38098

SCOTTSDALE, AZ

Past

February 9, 2001 - March 12, 2001

CHICAGO INVESTMENT GROUP, LLC

CRD#: 11853

CHICAGO, IL

Past

June 16, 1999 - December 14, 2000

THE REGENCY GROUP, INC.

CRD#: 45216

NEW YORK, NY

Past

August 3, 1998 - June 15, 1999

WILLIAM SCOTT & CO. L.L.C.

CRD#: 14979

UNION, NJ

Past

April 2, 1997 - September 15, 1997

WEATHERLY SECURITIES CORPORATION

CRD#: 11081

NEW YORK, NY

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".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Florida
(11/18/2024)

IAR

Florida
(11/18/2024)

New York
(11/14/2024)

IAR

New York
(11/14/2024)

Texas
(11/14/2024)

IAR

Texas
(11/14/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/8/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/23/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/1/1997

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORRISON, STEVEN PHILIP	SECRETARY	4529345
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Ernesto D. Ramirez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ernesto D Ramirez's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Ernesto D Ramirez's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

ONEAMERICA SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

CLARK STREET CAPITAL, INC.

INDIANAPOLIS SECURITIES, INC.

NYLIFE SECURITIES LLC

BERRY-SHINO SECURITIES, INC.

CHICAGO INVESTMENT GROUP, LLC

THE REGENCY GROUP, INC.

WILLIAM SCOTT & CO. L.L.C.

WEATHERLY SECURITIES CORPORATION

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/8/2008

Series 63

Date: 4/23/1997

SIE

Date: 10/1/2018

Series 7

Date: 4/1/1997

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

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