RR
Rene Ramirez
ADVISORS ASSET MANAGEMENT
Boerne, TX 78006
Some features on this profile are disabled
CRD#: 5543135
RR
Professional summary
Rene Ramirez is a registered financial advisor currently at ADVISORS ASSET MANAGEMENT, INC. located in Boerne, Texas.
Rene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Rene has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Rene Ramirez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rene Ramirez's 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®
NoneExperience
Current
March 6, 2017 - Present
ADVISORS ASSET MANAGEMENT, INC.
Office #1: 28025 Ih-10 West, Boerne, TX 78006RIA
BD
CRD#: 46727
Boerne, TX
Current
March 6, 2017 - Present
ADVISORS ASSET MANAGEMENT, INC.
Office #1: 28025 Ih-10 West, Boerne, TX 78006RIA
BD
CRD#: 46727
Boerne, TX
Past
January 25, 2016 - March 15, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN ANTONIO, TX
Past
January 25, 2016 - March 15, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN ANTONIO, TX
Past
January 9, 2012 - January 8, 2016
SWBC INVESTMENT COMPANY
RIA
CRD#: 140994
SAN ANTONIO, TX
Past
January 9, 2012 - January 8, 2016
SWBC INVESTMENT SERVICES, LLC
BD
CRD#: 133715
SAN ANTONIO, TX
Past
July 15, 2010 - December 22, 2011
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
SAN ANTONIO, TX
Past
July 15, 2010 - December 22, 2011
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
SAN ANTONIO, TX
Past
June 1, 2009 - June 4, 2010
MORGAN STANLEY
RIA
CRD#: 149777
SAN ANTONIO, TX
Past
June 1, 2009 - June 4, 2010
MORGAN STANLEY
BD
CRD#: 149777
SAN ANTONIO, TX
Past
September 25, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
SAN ANTONIO, TX
Past
September 8, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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".
AA
ADVISORS ASSET MANAGEMENT, INC.
ADVISOR'S ASSET MANAGEMENT | STERLING BROKERAGE SERVICES, LLC | FIXED INCOME SECURITIES, LP | FIXED INCOME SECURITIES, LLC | FIXED INCOME SECURITIES, INC. | ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
RIA
Registered Investment Advisory firm - SEC (2/6/2004 Approved)California
Registered Investment Advisory firm - SEC (4/14/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver 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.RR
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
RR
Texas(3/6/2017)
IAR
Texas(3/6/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
AA
ADVISORS ASSET MANAGEMENT, INC.
ADVISOR'S ASSET MANAGEMENT | STERLING BROKERAGE SERVICES, LLC | FIXED INCOME SECURITIES, LP | FIXED INCOME SECURITIES, LLC | FIXED INCOME SECURITIES, INC. | ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
RIA
Registered Investment Advisory firm - SEC (2/6/2004 Approved)California
Registered Investment Advisory firm - SEC (4/14/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
18925 Base Camp Road Suite 203, Monument, CO 80132
Mailing Address
18925 Base Camp Road, Monument, CO 80132
Phone number
(719) 488-9956
Established
Delaware since 01/01/2008
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
274
SEC notice filing (50 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AAM HOLDINGS, INC | SHAREHOLDER | |
| CORSO, CLIFFORD DEAN | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER/DIRECTOR | 2477519 |
| DANIEL, BART PATRICK | CHIEF TECHNOLOGY OFFICER/DIRECTOR | 4263841 |
| FERONE, MARILEE | EXEC. VP | 1450526 |
| GENOVESE, CHRISTOPHER THOMAS | EXEC. VP/DIRECTOR | 2255451 |
| GILBERT, BRIAN WAYNE | SR. VP | 1857325 |
| LLOYD, MATTHEW WILLIAM | CHIEF INVESTMENT STRATEGIST/EXEC. VP/DIRECTOR | 2460808 |
| MEITZNER, ALEX ROBERT | SR. VP | 1964373 |
| OPIE, JEFFREY KURTIS | EXEC. VP, CHIEF FINANCIAL OFFICER | 5763807 |
| SICKLES, CHARLES EDWARD | EXEC. VP | 2097390 |
| STEWART, RICHARD ALAN | EXEC. VP | 1653343 |
| STOKLOSA, TIMOTHY JOHN | EXEC. VP, CHIEF OPERATING OFFICER | 4897959 |
| WEBBER, JOHN EDWIN | SVP, CHIEF COMPLIANCE OFFICER/SECRETARY | 5169415 |
Regulatory assets under management
| Total Number of Accounts | 1,591 |
| AUM (Assets Under Management) | $ 1,958,198,460 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
