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JR

John A. Ramey

Some features on this profile are disabled
CRD#: 2925055
JR

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.

John A. Ramey III, who also goes by Jay Ramey, John A (iii) Ramey, John Allen Ramey III, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1997. John had worked at 9 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jay Ramey | John A (iii) Ramey | John Allen Ramey Iii

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 22, 2022 - September 18, 2025

CAPLINK SECURITIES, INC

BD
CRD#: 130702
MANHATTAN BEACH, CA
Past

January 29, 2020 - December 31, 2020

D.H. HILL ADVISORS, INC.

RIA
CRD#: 116324
Cardiff By the Sea, CA
Past

January 29, 2020 - December 31, 2020

D.H. HILL SECURITIES, LLLP

BD
CRD#: 41528
KINGWOOD, TX
Past

March 6, 2018 - January 13, 2020

BLUEARC CAPITAL MANAGEMENT

RIA
CRD#: 167233
Atlanta, GA
Past

August 18, 2016 - February 5, 2018

D.H. HILL ADVISORS, INC.

RIA
CRD#: 116324
San Diego, CA
Past

October 1, 2014 - July 14, 2016

D.H. HILL ADVISORS, INC.

RIA
CRD#: 116324
SAN DIEGO, CA
Past

October 1, 2014 - February 5, 2018

D.H. HILL SECURITIES, LLLP

BD
CRD#: 41528
KINGWOOD, TX
Past

April 1, 2008 - July 2, 2014

MIDAMERICA FINANCIAL SERVICES, INC.

BD
CRD#: 47351
LA JOLLA, CA
Past

June 16, 2006 - April 1, 2008

UHLMANN PRICE SECURITIES, LLC

BD
CRD#: 42854
LA JOLLA, CA
Past

July 10, 2002 - October 21, 2005

ALPHAMAX DISTRIBUTORS, L.L.C.

BD
CRD#: 8258
LA JOLLA, CA
Past

January 16, 2001 - July 16, 2002

MF GLOBAL INC.

BD
CRD#: 6731
NEW YORK, NY
Past

October 1, 1997 - December 24, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/31/1997
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/5/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 1/31/2001
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/30/1997
General Securities Representative Examination

Current Firm

CS
CAPLINK SECURITIES, INC
CAPLINK SECURITIES, INC | CENTARA CAPITAL SECURITIES, INC.

CRD#: 130702 / SEC#: , 8-66379

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

Main Address
1230 Rosecrans Avenue Suite 300, Manhattan Beach, CA 90266
Mailing Address
1230 Rosecrans Avenue Suite 300, Manhattan Beach, CA 90266
Phone number
(310) 952-0987
Established
California since 04/21/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 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#
MIBU, SCOTT JIROPRESIDENT, CCO2272272
OSHIRO, MICHAEL HENRYCEO2271174
BARRETT, THOMAS JOSEPHFINOP2821759

Disclosures

Regulatory Event1

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

CAPLINK SECURITIES, INC

CRD#: 130702

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