Diego F. Ramon
Professional summary
Diego Fernando Ramon is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in Charlotte, North Carolina.
Diego is registered as a RR (Registered Representative) and started their career in finance in 2000. Diego has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Diego Fernando Ramon's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 10, 2004 - Present
MUTUAL OF AMERICA SECURITIES LLC
Office #1: 2100 S Tryon St Suite 103, Charlotte, NC 28203February 10, 2004 - November 11, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
June 27, 2003 - February 4, 2004
METROPOLITAN LIFE INSURANCE COMPANY
June 27, 2003 - February 4, 2004
MSI FINANCIAL SERVICES, INC.
November 9, 2000 - July 18, 2003
MML INVESTORS SERVICES, 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
(2/10/2004)
(1/23/2025)
Exams
Series 99TO
Date: 8/28/2024
Operations Professional ExaminationFINRA
Current Firm
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
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