Jose Velazquez-ramos

PLANMEMBER SECURITIES

Brighton, MA

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CRD#: 4589716

Professional summary

Jose Velazquez-ramos, who also goes by Jose Ramos, Jose Velazquez, Jose Velazquez Ramos, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Brighton, Massachusetts.

Jose is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Jose has 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"?

Yes

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.

1) BSA Wealth Advisors LLC-11 Carol Ave, Apt B, Brighton, MA 02135; Investment related; Investment, securities & insurance sales & services; Financial Advisor; Start date 7/2024; 160 hrs/mnth & during trading. 2) Jose Ramos-Velazquez (self employed)-11 Carol Ave, Apt B, Brighton, MA 02135; Investment related; insurance (fixed indexed annuities) sales & services; Representative; Start date 7/2024; 160 hrs/mnth & during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jose Velazquez-ramos's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Jose Velazquez-ramos'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

July 24, 2024 - Present

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

Brighton, MA

Current

July 15, 2024 - Present

PLANMEMBER SECURITIES CORPORATION

RIA

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

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.

CRD#: 39550

LYNN, MA

Past

April 23, 2014 - August 30, 2018

PRUCO SECURITIES, LLC.

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.

CRD#: 46214

BRIGHTON, MA

Past

January 27, 2012 - April 12, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

WELLESLEY, MA

Past

November 30, 2009 - April 16, 2010

WADDELL & REED

CRD#: 866

WOBURN, MA

Past

November 8, 2002 - June 15, 2006

PFS INVESTMENTS INC.

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".

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)

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.

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

Massachusetts
(7/15/2024)

IAR

Massachusetts
(7/24/2024)

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 65

Date: 12/21/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/12/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/13/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/29/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/7/2002

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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)

FINRA licenses (51 States and Territories)

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

Name	Position	CRD#
PLANMEMBER FINANCIAL CORPORATION	OWNER
BOWMAN, BYRON FRANCIS	CHIEF LEGAL OFFICER & SECRETARY	2673117
HALEY, SEAN PATRICK	CHIEF COMPLIANCE OFFICER	2837579
HANSON, STEVEN R	CHIEF FINANCIAL OFFICER / FINOPS	4854600
JANEWAY, TERRALL JOSEPH	EVP/CHIEF OPERATING OFFICER	2947154
ZIEHL, JON MICHAEL	PRESIDENT	707642

Regulatory assets under management

Total Number of Accounts	68,978
AUM (Assets Under Management)	$ 9,035,509,268

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/21/2022	Cover Page	Report
12/21/2022	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.

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Firm Stability Insights

Jose Velazquez-ramos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jose Velazquez-ramos's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Jose Velazquez-ramos's CRS (Customer Relationship Summary).

Certified licenses

Experience

PLANMEMBER SECURITIES CORPORATION

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

PRUCO SECURITIES, LLC.

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

WADDELL & REED

PFS INVESTMENTS INC.

Primary Firm SEC Registration

PLANMEMBER SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 12/21/2018

Series 66

Date: 9/12/2012

Series 63

Date: 10/13/2002

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/29/2009

Series 6

Date: 11/7/2002

FINRA

Current Firm

PLANMEMBER SECURITIES CORPORATION

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (51 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

PLANMEMBER SECURITIES CORPORATION

TRUST BUT VERIFY

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