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JD

Julio R. Diaz Ramirez

ARKADIOS CAPITAL
San Juan, PR 00920
Some features on this profile are disabled
CRD#: 3263921
JD

Professional summary

Julio Rene Diaz Ramirez, who also goes by Julio Rene Diaz, Julio R. Diaz Ramirez, is a registered financial professional currently at ARKADIOS CAPITAL located in San Juan, .

Julio is registered as a RR (Registered Representative) and started their career in finance in 1999. Julio has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Julio Rene Diaz | Julio R. Diaz Ramirez

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) - BD

Click below to view Julio Rene Diaz Ramirez's CRS (Customer Relationship Summary).
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®
None

Experience

Current

December 5, 2018 - Present

ARKADIOS CAPITAL

Office #1: 322 De Diego Suite 202, San Juan, PR 00920
BD
CRD#: 282710
San Juan, PR
Past

August 25, 2009 - October 9, 2017

PARITER SECURITIES, LLC

BD
CRD#: 127836
GUAYNABO, PR
Past

June 10, 2008 - August 12, 2009

UNIVERSAL FINANCIAL SERVICES INC.

BD
CRD#: 131558
GUAYNABO, PR
Past

September 10, 2007 - June 18, 2008

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
GUAYNABO, PR
Past

April 20, 2006 - July 2, 2007

SAMUEL A. RAMIREZ & COMPANY, INC.

BD
CRD#: 6963
HATO REY, PR
Past

October 11, 2004 - April 10, 2006

R-G INVESTMENTS CORPORATION

BD
CRD#: 113293
SAN JUAN, PR
Past

July 26, 2001 - March 24, 2004

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA
Past

December 7, 1999 - May 22, 2001

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Puerto Rico
(12/5/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 8/16/2006
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/9/2000
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/9/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/8/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/1/1999
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AC
ARKADIOS CAPITAL
ARKADIOS CAPITAL | MSY SECURITIES, LLC | ARKADIOS CAPITAL, LLC

CRD#: 282710 / SEC#: , 8-69729

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
2827 Peachtree Rd Ne, Suite 510, Atlanta, GA 30305
Mailing Address
2827 Peachtree Rd Ne, Suite 510, Atlanta, GA 30305
Phone number
(404) 445-0035
Established
Georgia since 11/23/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 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#
ARKADIOS HOLDINGS, INC.OWNER
HARRISON, JOHN DORWARDEXECUTIVE DIRECTOR2361768
MCCOMB, MAX MICHAELEXECUTIVE DIRECTOR1347500
MILLER, NATALIE LANEFINOP, POO, PFO5627988
MILLICAN, DAVID YANCEY IVCEO2788060
SCHWARTZ, GARY STEVENCHIEF COMPLIANCE OFFICER2691699

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

ARKADIOS CAPITAL

CRD#: 282710San Juan, PR 00920

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