Ricardo Ramirez
Professional summary
Ricardo Ramirez, who also goes by Ricardo Luis Ramirez Jr, Rick Ramirez, is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in Dallas, Texas.
Ricardo is registered as a RR (Registered Representative) and started their career in finance in 2024. Ricardo has worked at 1 firm and has passed the Series 63, Series 52TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ricardo Ramirez's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 30, 2024 - Present
PNC CAPITAL MARKETS LLC
Office #1: 200 Crescent Court, Dallas, TX 75201State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/30/2024)
Exams
Series 52TO
Date: 9/28/2024
Municipal Securities Representative ExaminationFINRA
Current Firm
PNC CAPITAL MARKETS LLC
CRD#: 15647 / SEC#: , 8-32493
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC HOLDING, LLC. | PARENT | |
| BEGLEY, TERENCE PATRICK | BOARD MEMBER | 4718949 |
| BERNIER, JAMES STEVENS | CHIEF EXECUTIVE OFFICER | 2849222 |
| CESARIO, CONNIE KOZLOFF | BOARD MEMBER | 4251140 |
| DERESPIRIS, BRIAN G | PRESIDENT, COO | 5399266 |
| MCNELIS, BRIAN PATRICK | BOARD MEMBER | 4886370 |
| MILLER, JOHN R | TREASURER AND FINOP | 6933635 |
| MILLER, JOHN R | PRINCIPAL FINANCIAL OFFICER | 6933635 |
| PULLINS, MATTHEW MICHAEL | CHIEF FINANCIAL OFFICER | 4366952 |
| PUMPHREY, MARY PATRICIA | CHIEF COMPLIANCE OFFICER | 2513345 |
| PUMPHREY, MARY PATRICIA | CHIEF RISK OFFICER | 2513345 |
| THOMAS, MICHAEL | CHAIRMAN | 2992653 |
| TOBUN, ABI | BOARD MEMBER | 4878954 |
| WILLIAMS, TROY MATTHEW | PRINCIPAL OPERATIONS OFFICER | 7763919 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
PNC CAPITAL MARKETS LLC
CRD#: 15647Dallas, TX 75201TRUST BUT VERIFY
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