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Cesar R. Ramirez

Some features on this profile are disabled
CRD#: 4390007
CR

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.

Cesar Raul Ramirez, who also goes by Cesar R Ramirez, Cesar Ramirez, was a registered financial professional .

Cesar is a previously registered financial professional and started their career in finance in 2007. Cesar had worked at 9 firms and has passed the SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cesar R Ramirez | Cesar 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 8, 2019 - September 8, 2020

PALAFOX TRADING LLC

BD
CRD#: 131114
MIAMI, FL
Past

October 8, 2019 - September 8, 2020

CITADEL SECURITIES LLC

BD
CRD#: 116797
MIAMI, FL
Past

October 8, 2019 - September 8, 2020

CITADEL SECURITIES INSTITUTIONAL LLC

BD
CRD#: 281102
MIAMI, FL
Past

October 8, 2019 - September 8, 2020

CITADEL CLEARING LLC

BD
CRD#: 172693
MIAMI, FL
Past

November 13, 2018 - September 25, 2019

BOFA SECURITIES, INC.

BD
CRD#: 283942
NEW YORK, NY
Past

June 4, 2014 - September 25, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

April 5, 2011 - September 27, 2012

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

December 21, 2007 - May 3, 2011

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

June 6, 2007 - December 6, 2007

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/5/2007
General Securities Representative Examination

Current Firm

PT
PALAFOX TRADING LLC
PALAFOX TRADING LLC

CRD#: 131114 / SEC#: , 8-66420

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
830 Brickell Plaza, Miami, FL 33131
Mailing Address
830 Brickell Plaza, Miami, FL 33131
Phone number
(305) 929-6851
Established
Delaware since 01/16/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PALAFOX HOLDCO LLCMEMBER
CARROLL, SEAN VINCENTCHIEF EXECUTIVE OFFICER2518443
CARROLL, SEAN VINCENTCHIEF COMPLIANCE OFFICER2518443
CITADEL ADVISORS LLCMANAGER
HENRY, STEVEN MICHAELCHIEF ACCOUNTING OFFICER5587809

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

PALAFOX TRADING LLC

CRD#: 131114

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