Agnes 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.
Agnes Ramirez, who also goes by Agnes Wong, was a registered financial professional .
Agnes is a previously registered financial professional and started their career in finance in 1998. Agnes had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2013 - July 13, 2026
PURSHE KAPLAN STERLING INVESTMENTS
October 31, 2007 - November 5, 2013
INVEST FINANCIAL CORPORATION
October 2, 2003 - October 29, 2007
PRINCIPAL FUNDS DISTRIBUTOR, INC.
February 5, 2003 - September 16, 2003
CITICORP INVESTMENT SERVICES
January 16, 1998 - February 5, 2003
CAL FED INVESTMENTS
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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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