Jose S. Ramos
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.
Jose S Ramos was a registered financial advisor .
Jose is a previously registered financial advisor and started their career in finance in 1997. Jose had worked at 6 firms and has passed the Series 65, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2010 - April 10, 2013
PLATINUM PLANNING, INC.
November 5, 2009 - September 6, 2012
STERLING ENTERPRISES GROUP, INC.
July 9, 2004 - October 16, 2009
CETERA INVESTMENT ADVISERS LLC
June 30, 2004 - October 16, 2009
CETERA FINANCIAL SPECIALISTS LLC
August 15, 2000 - October 29, 2004
HOCHMAN & BAKER INVESTMENT ADVISORY SERVICES, INC.
December 23, 1997 - June 30, 2004
HOCHMAN & BAKER SECURITIES, INC.
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
PLATINUM PLANNING, INC.
CRD#: 120213 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 288 |
| AUM (Assets Under Management) | $ 26,138,172 |
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.
