Jose A. Ramirez
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.
Jose Antonio Ramirez, who also goes by Tony Ramirez, was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 2010. Jose had worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2020 - May 21, 2021
USI SECURITIES, INC.
June 25, 2020 - May 21, 2021
USI SECURITIES, INC.
September 9, 2016 - January 23, 2020
TRUIST ADVISORY SERVICES, INC.
November 9, 2015 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
October 22, 2015 - January 23, 2020
TRUIST INVESTMENT SERVICES, INC.
October 1, 2012 - October 7, 2015
J.P. MORGAN SECURITIES LLC
October 1, 2012 - October 7, 2015
J.P. MORGAN SECURITIES LLC
April 3, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 1, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
Primary Firm SEC Registration
USI SECURITIES, INC.
CRD#: 43793 / SEC#: 801-56578, 8-50429
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
USI SECURITIES, INC.
CRD#: 43793 / SEC#: 801-56578, 8-50429
Contact information
SEC notice filing (39 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USIC INVESTMENT GROUP INC. | SHAREHOLDER | |
| BOWMAN, RICHARD CHARLES | FINOP, DIRECTOR OF OPERATIONS | 2356525 |
| GRITZER, JOSEPH JOHN JR | PRESIDENT | 2162679 |
| KAPPUS, DAVID L | TREASURER | 6837749 |
| NEWBORN, ERNEST JOSHUA | DIRECTOR/SECRETARY | 3154426 |
| ROBIDOUX, MELINDA MCDONALD | CHIEF COMPLIANCE OFFICER | 2848093 |
| TREMKO, WILLIAM MICHAEL | CHIEF EXECUTIVE OFFICER | 4495149 |
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.
