James D. Ramirez

LPL ENTERPRISE

Miami, FL 33126

Some features on this profile are disabled

CRD#: 4580722

Professional summary

James Dean Ramirez, who also goes by James Dean Ramirez, James Ramirez, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Miami, Florida.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. James has worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Dean Ramirez | James 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) - RIA

Click below to view James Dean Ramirez's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view James Dean Ramirez's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

November 18, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 800 Nw 62nd Ave Ste 120, Miami, FL 33126

RIA

CRD#: 8733

Miami, FL

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 800 Nw 62nd Ave Ste 120, Miami, FL 33126

RIA

CRD#: 8733

Miami, FL

Past

October 17, 2024 - November 12, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Miami, FL

Past

September 12, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Miami, FL

Past

August 26, 2021 - July 5, 2023

ALPS DISTRIBUTORS, INC.

CRD#: 16853

DENVER, CO

Past

November 12, 2020 - July 30, 2021

FORESIDE FINANCIAL SERVICES, LLC

CRD#: 148477

New York, NY

Past

August 1, 2017 - August 24, 2020

NORTHERN TRUST INVESTMENTS, INCORPORATED

RIA

CRD#: 105780

New York City, NY

Past

July 12, 2017 - August 24, 2020

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

CHICAGO, IL

Past

March 23, 2015 - July 12, 2017

NUVEEN ASSET MANAGEMENT, LLC

RIA

CRD#: 155584

GLEN COVE, NY

Past

January 20, 2015 - July 12, 2017

NUVEEN SECURITIES, LLC

CRD#: 469

NEW YORK, NY

Past

March 30, 2009 - January 8, 2015

TEACHERS PERSONAL INVESTORS SERVICES, INC.

CRD#: 36130

NEW YORK, NY

Past

July 16, 2007 - September 5, 2008

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

NEW YORK, NY

Past

July 16, 2007 - December 19, 2008

TEACHERS PERSONAL INVESTORS SERVICES, INC.

CRD#: 36130

NEW YORK, NY

Past

November 2, 2006 - February 2, 2007

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

MESA, AZ

Past

August 1, 2005 - October 3, 2006

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

June 28, 2005 - July 11, 2005

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

December 6, 2003 - June 29, 2005

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

September 11, 2002 - December 8, 2003

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(11/15/2024)

IAR

Florida
(11/18/2024)

Georgia
(11/14/2024)

New York
(5/9/2025)

Ohio
(5/9/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/16/2024

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/19/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/13/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/8/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/10/2002

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/5/2014

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORRISON, STEVEN PHILIP	SECRETARY	4529345
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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.

Similar Advisors

Noah Alweiss

MORGAN STANLEY

IAR

Miami, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James D. Ramirez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Dean Ramirez's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view James Dean Ramirez's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

ALPS DISTRIBUTORS, INC.

FORESIDE FINANCIAL SERVICES, LLC

NORTHERN TRUST INVESTMENTS, INCORPORATED

NORTHERN TRUST SECURITIES, INC.

NUVEEN ASSET MANAGEMENT, LLC

NUVEEN SECURITIES, LLC

TEACHERS PERSONAL INVESTORS SERVICES, INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TEACHERS PERSONAL INVESTORS SERVICES, INC.

CHASE INVESTMENT SERVICES CORP.

J.P. MORGAN SECURITIES INC.

J.P. MORGAN SECURITIES INC.

CHASE INVESTMENT SERVICES CORP.

BNY MELLON SECURITIES CORPORATION

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/16/2024

Series 65

Date: 3/19/2015

Series 63

Date: 9/13/2002

SIE

Date: 10/1/2018

Series 7

Date: 8/8/2005

Series 6

Date: 9/10/2002

Series 24

Date: 4/5/2014

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

Similar Advisors