Samuel Ramos

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CRD#: 5692004

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.

Samuel Ramos, who also goes by Sam Ramos, was a registered financial professional .

Samuel is a previously registered financial professional and started their career in finance in 2009. Samuel had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sam 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

April 24, 2023 - October 4, 2025

THIRD SEVEN CAPITAL LLC

CRD#: 160209

Wall, NJ

Past

August 25, 2017 - October 31, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

PENNINGTON, NJ

Past

August 23, 2017 - October 31, 2022

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

PENNINGTON, NJ

Past

November 16, 2016 - April 28, 2017

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

AVENEL, NJ

Past

November 16, 2016 - April 28, 2017

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

AVENEL, NJ

Past

June 30, 2014 - September 6, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PENNINGTON, NJ

Past

June 30, 2014 - September 6, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PENNINGTON, NJ

Past

November 20, 2013 - March 20, 2014

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

EDISON, NJ

Past

November 19, 2013 - March 20, 2014

EQUITABLE ADVISORS, LLC

CRD#: 6627

EDISON, NJ

Past

May 24, 2010 - November 11, 2013

OSAIC WEALTH, INC.

RIA

CRD#: 23131

BROOKLYN, NY

Past

October 21, 2009 - November 11, 2013

OSAIC WEALTH, INC.

CRD#: 23131

BROOKLYN, NY

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 66

Date: 12/16/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/20/2009

General Securities Representative Examination

Current Firm

THIRD SEVEN CAPITAL LLC

THIRD SEVEN CAPITAL ADVISORS | THIRD SEVEN CAPITAL, LLC | THIRD SEVEN CAPITAL LLC

CRD#: 160209 / SEC#: , 8-69032

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

67 Holly Hill Lane Suite 8500, New York, NY 10022

Mailing Address

67 Holly Hill Lane Suite 300c, Greenwich, CT 06830

Phone number

(917) 602-6153

Established

Delaware since 07/06/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
THIRD SEVEN GROUP LLC	HOLDING COMPANY
DIFIORE, MONICA LISA	CCO	2966552
LEDGER, NICHOLAS MARK	CEO/CFO	6779287
SAKOL, DANIEL SCOTT	FIN OP	2813237

Disclosures

Regulatory Event

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

Samuel Ramos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/16/2009

SIE

Date: 10/1/2018

Series 7

Date: 10/20/2009

Current Firm

THIRD SEVEN CAPITAL LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

THIRD SEVEN CAPITAL LLC

TRUST BUT VERIFY

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