Ramon E. Rodriguez
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.
Ramon E. Rodriguez, who also goes by Ramon E Rodriguez, Ramon Edgardo Rodriguez, was a registered financial professional .
Ramon is a previously registered financial professional and started their career in finance in 2001. Ramon had worked at 11 firms and has passed the Series 63, Series 66, Series 7TO, 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
August 26, 2022 - October 28, 2025
J.P. MORGAN SECURITIES LLC
December 6, 2011 - September 4, 2013
CETERA INVESTMENT SERVICES LLC
December 6, 2011 - September 4, 2013
CETERA INVESTMENT SERVICES LLC
October 1, 2009 - December 16, 2011
VISION INVESTMENT SERVICES, INC.
March 13, 2009 - October 7, 2009
INVEST FINANCIAL CORPORATION
March 13, 2009 - October 7, 2009
INVEST FINANCIAL CORPORATION
May 29, 2007 - April 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - April 1, 2009
CITIGROUP GLOBAL MARKETS INC.
March 22, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
March 22, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
October 21, 2004 - March 20, 2006
LASALLE FINANCIAL SERVICES, INC.
October 21, 2004 - March 20, 2006
LASALLE FINANCIAL SERVICES, INC.
August 1, 2002 - October 7, 2004
BANC ONE SECURITIES CORPORATION
August 1, 2002 - October 7, 2004
BANC ONE SECURITIES CORPORATION
June 5, 2002 - August 14, 2002
HORNOR, TOWNSEND & KENT, LLC
December 17, 2001 - May 29, 2002
VOYA FINANCIAL ADVISORS, INC.
February 1, 2001 - November 29, 2001
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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: 8/26/2022
General Securities Representative ExaminationCurrent Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
