Michael R. Ramsey
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.
Michael Ryan Ramsey, CFP® was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 55, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2021 - October 20, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 17, 2020 - October 20, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 16, 2007 - November 4, 2008
LEHMAN BROTHERS INC.
March 18, 2005 - March 24, 2005
THOMAS WEISEL PARTNERS LLC
September 3, 2003 - March 24, 2005
THOMAS WEISEL PARTNERS LLC
October 4, 2001 - December 31, 2002
WELLS FARGO BROKERAGE SERVICES, L.L.C.
October 4, 2001 - September 11, 2003
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
February 23, 2000 - May 10, 2001
ROBERTSON STEPHENS, INC.
September 27, 1999 - February 23, 2000
FUNDS DISTRIBUTOR, LLC
August 25, 1998 - May 6, 1999
AMERIPRISE ADVISOR SERVICES, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Series 7TO
Date: 2/15/2020
General Securities Representative ExaminationSeries 55
Date: 4/25/2001
Limited Representative-Equity Trader ExamCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
