AR
Ashok S. Ramji
INSIGHT FOLIOS
Kirkland, WA
Some features on this profile are disabled
CRD#: 2909430
AR
Professional summary
Ashok S Ramji, who also goes by Ashok Sudarshan Ramji, is a registered financial advisor currently at INSIGHT FOLIOS located in Kirkland, Washington.
Ashok is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Ashok has worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ashok Sudarshan Ramji
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) TOP Planning LLC: Investment Related - Yes: 13041 NE 73rd Street Kirkland, WA 98033, 61061: Sales of Insurance and Annuity Products: Financial Consultant, Member Manager of SMLLC since 11/2017: 48 hours per month devoted to this business: 12 hours per week devoted during securities trading hours: Product sales for annuities and life insurance. Clients are in no way required to purchase insurance products. 2) sole proprietor - tutoring, warehousing, and logistics; investment-related: NO; Mailing Address: 13041 NE 73rd Street Kirkland, WA 98033; Nature of the other business: K-12 math tutoring, exam prep tutoring; Position, Title, or Relationship with the other business: independent contractor; start date of your relationship: February 28, 2022; approximate number of hours/month you devote to the other business: 80; number of hours you devote to the other business during securities trading hours: 0; briefly describe your duties relating to the other business: part-time tutoring after market close of grade school students and others looking to pass exams like the SAT. 3) sole proprietor - warehousing and logistics; investment-related: NO; Mailing Address: 13041 NE 73rd Street Kirkland, WA 98033; Nature of other business: warehousing and logistics; Position: independent contractor: start date: February 2022; approximate number of hours/month devoted to the other business 80; number of hours devoted to the other business during trading hours; 0; briefly describe your duties relating to the other business: warehouse and logistic work after market close
CRS (Client Relationship Summary) - RIA
Click below to view Ashok S Ramji'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
September 27, 2019 - Present
INSIGHT FOLIOS
RIA
CRD#: 174411
Kirkland, WA
Past
May 9, 2018 - August 27, 2019
VIRTUE CAPITAL MANAGEMENT, LLC
RIA
CRD#: 167816
Sammamish, WA
Past
February 6, 2018 - March 26, 2018
BLUE DUCK WEALTH MANAGEMENT
RIA
CRD#: 281832
Issaquam, WA
Past
August 7, 2017 - November 17, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
BELLEVUE, WA
Past
July 5, 2017 - November 17, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
BELLEVUE, WA
Past
September 19, 1997 - December 13, 2000
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
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".
IF
INSIGHT FOLIOS
APPLIED STRATEGIES FOR WEALTH MANAGEMENT | TRUVESTMENTS | KEVIN WRAY FINANCIAL SERVICES | INSIGHT FOLIOS INC | INSIGHT FOLIOS | DURSO CAPITAL MANAGEMENT
CRD#: 174411 / SEC#: 801-117138
RIA
Registered Investment Advisory firm - (8/12/2019 Approved)Arizona
Registered Investment Advisory firm - (8/21/2019 Terminated)California
Registered Investment Advisory firm - (1/11/2018 Terminated)Florida
Registered Investment Advisory firm - (12/12/2017 Terminated)Illinois
Registered Investment Advisory firm - (12/31/2017 Terminated)Massachusetts
Registered Investment Advisory firm - (8/21/2019 Terminated)Michigan
Registered Investment Advisory firm - (8/22/2019 Terminated)New Hampshire
Registered Investment Advisory firm - (8/22/2019 Terminated)North Carolina
Registered Investment Advisory firm - (9/3/2019 Terminated)South Carolina
Registered Investment Advisory firm - (8/21/2019 Terminated)Texas
Registered Investment Advisory firm - (8/21/2019 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.Highlighted states indicate IAR registrations
IAR
Illinois(3/6/2023)
IAR
Washington(9/27/2019)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
IF
INSIGHT FOLIOS
APPLIED STRATEGIES FOR WEALTH MANAGEMENT | TRUVESTMENTS | KEVIN WRAY FINANCIAL SERVICES | INSIGHT FOLIOS INC | INSIGHT FOLIOS | DURSO CAPITAL MANAGEMENT
CRD#: 174411 / SEC#: 801-117138
RIA
Registered Investment Advisory firm - (8/12/2019 Approved)Arizona
Registered Investment Advisory firm - (8/21/2019 Terminated)California
Registered Investment Advisory firm - (1/11/2018 Terminated)Florida
Registered Investment Advisory firm - (12/12/2017 Terminated)Illinois
Registered Investment Advisory firm - (12/31/2017 Terminated)Massachusetts
Registered Investment Advisory firm - (8/21/2019 Terminated)Michigan
Registered Investment Advisory firm - (8/22/2019 Terminated)New Hampshire
Registered Investment Advisory firm - (8/22/2019 Terminated)North Carolina
Registered Investment Advisory firm - (9/3/2019 Terminated)South Carolina
Registered Investment Advisory firm - (8/21/2019 Terminated)Texas
Registered Investment Advisory firm - (8/21/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
10800 Sikes Place Suite 110, Charlotte, NC 28277
Mailing Address
Phone number
(704) 529-9500
Established
Firm type
Fiscal year end
# of Employees
15
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,163 |
| AUM (Assets Under Management) | $ 341,383,271 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
