Adam P. 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.
Adam Paul Ramirez, who also goes by Adam Paul Ramirez, was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2008. Adam had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 2023 - October 31, 2025
ALPINE SECURITIES CORPORATION
March 9, 2015 - October 29, 2023
SCOTTSDALE CAPITAL ADVISORS CORP
May 23, 2013 - February 27, 2014
USAA FINANCIAL ADVISORS, INC.
February 14, 2012 - June 11, 2012
CUNA BROKERAGE SERVICES, INC.
February 5, 2008 - March 19, 2010
CHARLES SCHWAB & CO., 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
ALPINE SECURITIES CORPORATION
CRD#: 14952 / SEC#: , 8-31464
Contact information
FINRA licenses (49 States and Territories)
Disclosures
| Regulatory Event | 45 |
| Civil Event | 2 |
| Arbitration | 1 |
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.
