Adrian E. Ramirez

SWBC INVESTMENT ADVISORY SERVICES LLC

Austin, TX 78746

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CRD#: 4955337

Professional summary

Adrian Edward Ramirez, CIMA®, who also goes by Adrian E Ramirez, is a registered financial advisor currently at SWBC INVESTMENT ADVISORY SERVICES LLC located in Austin, Texas and 3(38) INVESTMENT FIDUCIARIES located in Austin, Texas.

Adrian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Adrian has worked at 8 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Adrian E 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.

k(quote) not investment-related 3355 Cochran St, Suite 101, Simi Valley, CA 93063 technology company that offers independent and unaffiliated advisors and financial product sponsors the ability to request recordkeeper bids for their corporate retiremetn plan clients and prosepctive clients Account Relationship Manager 05/15/2024 10 hours per month all hours during trading customer-service

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adrian Edward 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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

July 9, 2021 - Present

SWBC INVESTMENT ADVISORY SERVICES LLC

Office #1: 900 South Capital Of Texas Ste 155, Austin, TX 78746

RIA

CRD#: 156155

Austin, TX

Current

May 22, 2024 - Present

3(38) INVESTMENT FIDUCIARIES

RIA

CRD#: 298053

AUSTIN, TX

Current

May 22, 2024 - Present

MONARCH PLAN ADVISORS

RIA

CRD#: 286612

AUSTIN, TX

Past

September 1, 2017 - May 17, 2021

LEAFHOUSE FINANCIAL ADVISORS, LLC

RIA

CRD#: 149694

AUSTIN, TX

Past

March 24, 2014 - August 14, 2017

FROST INVESTMENT ADVISORS, LLC

RIA

CRD#: 146148

SAN ANTONIO, TX

Past

May 29, 2007 - April 25, 2012

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

DALLAS, TX

Past

September 25, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

DALLAS, TX

Past

August 3, 2005 - June 19, 2006

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

SAN ANTONIO, TX

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".

3(38) INVESTMENT FIDUCIARIES

3(38) INVESTMENT FIDUCIARIES | 3(38) INVESTMENT FIDUCIARIES INC.

CRD#: 298053 / SEC#: 801-114078

RIA

Registered Investment Advisory firm - (10/1/2018 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Texas
(7/9/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/24/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/27/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 8/2/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

3(38) INVESTMENT FIDUCIARIES

3(38) INVESTMENT FIDUCIARIES | 3(38) INVESTMENT FIDUCIARIES INC.

CRD#: 298053 / SEC#: 801-114078

RIA

Registered Investment Advisory firm - (10/1/2018 Approved)

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Contact information

Main Address

3355 Cochran Street Suite 101, Simi Valley, CA 93063

Mailing Address

Phone number

(818) 296-9529

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025-06-16 3(38) INVESTMENT FIDUCIARIES FORM ADV PART 2A (6/16/2025)

Regulatory assets under management

Total Number of Accounts	176
AUM (Assets Under Management)	$ 842,588,293

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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Advisor Monitoring

Firm Stability Insights

Adrian E. Ramirez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adrian Edward Ramirez's CRS (Customer Relationship Summary).

Certified licenses

Experience

3(38) INVESTMENT FIDUCIARIES

MONARCH PLAN ADVISORS

LEAFHOUSE FINANCIAL ADVISORS, LLC

FROST INVESTMENT ADVISORS, LLC

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

3(38) INVESTMENT FIDUCIARIES

State Registrations and Notice Filings

Exams

Series 65

Date: 3/24/2014

Series 63

Date: 9/27/2005

Series 6

Date: 8/2/2005

Current Firm

3(38) INVESTMENT FIDUCIARIES

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

3(38) INVESTMENT FIDUCIARIES

TRUST BUT VERIFY

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