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Olga E. Ramos

AVENUE SECURITIES LLC
Miami, FL 33133
Some features on this profile are disabled
CRD#: 2852961
OR

Professional summary

Olga Enid Ramos, who also goes by Olga E Ramos, is a registered financial professional currently at AVENUE SECURITIES LLC located in Miami, Florida.

Olga is registered as a RR (Registered Representative) and started their career in finance in 1997. Olga has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Olga E Ramos

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Olga Enid Ramos'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

April 13, 2021 - Present

AVENUE SECURITIES LLC

Office #1: 2601 S Bayshore Drive Suite 1100, Miami, FL 33133
BD
CRD#: 292589
Miami, FL
Past

October 23, 2014 - November 26, 2019

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

January 15, 2009 - September 9, 2014

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
MIAMI, FL
Past

June 26, 2008 - August 12, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
MIAMI, FL
Past

June 22, 2004 - May 29, 2008

UBS INTERNATIONAL INC.

RIA
CRD#: 107726
MIAMI, FL
Past

June 16, 2004 - May 29, 2008

UBS INTERNATIONAL INC.

BD
CRD#: 107726
MIAMI, FL
Past

July 29, 2003 - June 16, 2004

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

BD
CRD#: 13042
HATO REY, PR
Past

July 29, 2003 - June 16, 2004

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

August 25, 1997 - July 11, 2003

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Alabama
(6/30/2021)
RR
Arizona
(6/30/2021)
RR
Arkansas
(6/30/2021)
RR
California
(6/30/2021)
RR
Colorado
(6/30/2021)
RR
Connecticut
(6/30/2021)
RR
Florida
(4/13/2021)
RR
Georgia
(6/30/2021)
RR
Illinois
(6/30/2021)
RR
Indiana
(6/30/2021)
RR
Kentucky
(6/30/2021)
RR
Louisiana
(6/30/2021)
RR
Maryland
(6/30/2021)
RR
Massachusetts
(6/30/2021)
RR
Michigan
(6/30/2021)
RR
Missouri
(6/30/2021)
RR
New Jersey
(6/30/2021)
RR
New York
(4/19/2021)
RR
North Carolina
(6/30/2021)
RR
Ohio
(7/1/2021)
RR
Oklahoma
(6/30/2021)
RR
Pennsylvania
(6/30/2021)
RR
South Carolina
(6/30/2021)
RR
Tennessee
(6/30/2021)
RR
Texas
(6/30/2021)
RR
Utah
(6/30/2021)
RR
Virginia
(6/30/2021)
RR
Washington
(6/30/2021)
RR
Wisconsin
(6/30/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/29/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/23/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/21/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/7/2021
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/27/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 6/19/2000
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

AS
AVENUE SECURITIES LLC
AVENUE SECURITIES LLC

CRD#: 292589 / SEC#: , 8-70079

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
2601 S Bayshore Drive Suite 1100, Miami, FL 33133
Mailing Address
2601 S Bayshore Drive Suite 1100, Miami, FL 33133
Phone number
(786) 220-7233
Established
Delaware since 12/05/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (30 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AVENUE HOLDINGS INC.SOLE MEMBER
ARTMANN, ALEXANDRE WAEHNELDTPOO2804856
HOPKINS, THOMAS JOHNFINOP, PFO1835087
LEE, ROBERTO LLOPISCHIEF EXECUTIVE OFFICER6918129
RAMOS, OLGA ENIDCCO2852961

Disclosures

Regulatory Event2

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.

Company Information

AVENUE SECURITIES LLC

CRD#: 292589Miami, FL 33133

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