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JV

Jose Velazquez-ramos

Some features on this profile are disabled
CRD#: 4589716
JV

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.

Jose Velazquez-ramos, who also goes by Jose Ramos, Jose Velazquez, Jose Velazquez Ramos, was a registered financial professional .

Jose is a previously registered financial professional and started their career in finance in 2002. Jose had worked at 9 firms and has passed the Series 65, Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jose Ramos | Jose Velazquez | Jose Velazquez Ramos

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

July 24, 2024 - March 6, 2026

PLANMEMBER SECURITIES CORPORATION

RIA
CRD#: 11869
Brighton, MA
Past

July 15, 2024 - March 6, 2026

PLANMEMBER SECURITIES CORPORATION

BD
CRD#: 11869
Brighton, MA
Past

June 16, 2022 - July 2, 2024

EAGLE STRATEGIES LLC

RIA
CRD#: 110826
WALTHAM, MA
Past

May 30, 2022 - July 2, 2024

NYLIFE SECURITIES LLC

BD
CRD#: 5167
WALTHAM, MA
Past

December 24, 2018 - June 16, 2020

CITIZENS SECURITIES, INC.

RIA
CRD#: 39550
LYNN, MA
Past

September 5, 2018 - June 16, 2020

CITIZENS SECURITIES, INC.

BD
CRD#: 39550
LYNN, MA
Past

April 23, 2014 - August 30, 2018

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
WARWICK, RI
Past

September 17, 2012 - September 17, 2012

NEXT FINANCIAL GROUP, INC.

RIA
CRD#: 46214
BRIGHTON, MA
Past

May 7, 2012 - September 17, 2012

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
BRIGHTON, MA
Past

January 27, 2012 - April 12, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
WELLESLEY, MA
Past

November 30, 2009 - April 16, 2010

WADDELL & REED

BD
CRD#: 866
WOBURN, MA
Past

November 8, 2002 - June 15, 2006

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

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".
PS
PLANMEMBER SECURITIES CORPORATION
INVESTORS RETIREMENT & MANAGEMENT CORPORATION | PLANMEMBER SECURITIES CORPORATION | IRM DISTRIBUTORS, INC.

CRD#: 11869 / SEC#: 801-39177, 8-25065

RIA
Registered Investment Advisory firm - SEC (6/27/1991 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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

State Security Law Exam
IAR
Series 65
Date: 12/21/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 9/12/2012
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/13/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/29/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/7/2002
Investment Company Products/Variable Contracts Representative Examination

Current Firm

PS
PLANMEMBER SECURITIES CORPORATION
INVESTORS RETIREMENT & MANAGEMENT CORPORATION | PLANMEMBER SECURITIES CORPORATION | IRM DISTRIBUTORS, INC.

CRD#: 11869 / SEC#: 801-39177, 8-25065

RIA
Registered Investment Advisory firm - SEC (6/27/1991 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
6187 Carpinteria Avenue, Carpinteria, CA 93013
Mailing Address
6187 Carpinteria Avenue, Carpinteria, CA 93013-2060
Phone number
(805) 684-1199
Established
California since 03/12/1982
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
432

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

PLANMEMBER WRAP FEE PROGRAM ELITE STRATEGIST DECEMBER 2024 (3/31/2025)
PLANMEMBER SCARBOROUGH BROCHURE MARCH 2023 (3/31/2025)
PLANMEMBER OPTIFUND BROCHURE 2023 MARCH (3/31/2025)
PLANMEMBER NON-PLATFORM IRA BROCHURE MARCH 2023 (3/31/2025)
PLANMEMBER SCHWAB IAR PROGRAM FEBRUARY 2025 (3/31/2025)
PLANMEMBER RETIREMENT INVESTMENT BROCHURE MARCH 2023 (3/31/2025)
PLANMEMBER Q8P IAR PROGRAM 2023 MARCH (3/31/2025)
PLANMEMBER WRAP FEE PROGRAM INVESTMENT SAVINGS PLUS (3/31/2025)
PLANMEMBER PREFERENCE AND IAR BROCHURE MARCH 2023 (3/31/2025)
PLANMEMBER WORKPLACE ADVISORY PROGRAM 2023 MARCH (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
PLANMEMBER FINANCIAL CORPORATIONOWNER
BOWMAN, BYRON FRANCISCHIEF LEGAL OFFICER & SECRETARY2673117
HALEY, SEAN PATRICKCHIEF COMPLIANCE OFFICER2837579
HANSON, STEVEN RCHIEF FINANCIAL OFFICER / FINOPS4854600
JANEWAY, TERRALL JOSEPHEVP/CHIEF OPERATING OFFICER2947154
ZIEHL, JON MICHAELPRESIDENT707642

Regulatory assets under management

Total Number of Accounts68,978
AUM (Assets Under Management)$ 9,035,509,268

Disclosures

Regulatory Event5

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

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

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