Brian M. 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.
Brian Michael Ramirez was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2003. Brian had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2018 - February 27, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
January 30, 2009 - July 13, 2018
STRATEGIC ADVISERS LLC
October 5, 2007 - February 24, 2023
FIDELITY BROKERAGE SERVICES LLC
January 19, 2007 - August 16, 2007
NATCITY INVESTMENTS, INC.
November 21, 2006 - August 16, 2007
NATCITY INVESTMENTS, INC.
May 13, 2004 - August 15, 2006
VOYA INVESTMENTS DISTRIBUTOR, LLC
May 9, 2003 - April 22, 2004
UBS FINANCIAL SERVICES INC.
February 7, 2003 - April 17, 2003
J.J.B. HILLIARD, W.L. LYONS, LLC
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
