RR
Randy E. Ramos
NORTHBRIDGE FINANCIAL GROUP
TAMPA, FL 33607
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CRD#: 6211901
RR
Professional summary
Randy Evans Ramos is a registered financial advisor currently at NORTHBRIDGE FINANCIAL GROUP, LLC located in Tampa, Florida and LPL FINANCIAL LLC located in Tampa, Florida.
Randy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Randy has worked at 3 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.
1- 03/2024 / Northbridge Financial Group LLC / DBA for LPL Business (entity for LPL business) / 200 hrs mth / 10 hrs during trading / At reported business location(s) 2- 03/2024 / KR Ventures, LLC / Business Entity For Tax/Investment Purposes Only / Not Investment Related / Start date: 11/01/2023 3- 03/2024 / St. Mary's Episcopal Day School / Coach/Sports/Fitness / Not Investment Related / 2 hrs mth / Start date: 10/02/2023 4- 04/09/2024 - Northbridge Financial Group LLC - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) -Start Date 4/1/2024 - 200 Hours Per Month/ 10 Hours During Trading - I provide investment advisory services thru Northbridge Financial Group LLC, an independent investment advisor firm. I started this business activity in 4/2024. I expect to spend approximately 200 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD.The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Randy Evans Ramos'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
April 14, 2024 - Present
NORTHBRIDGE FINANCIAL GROUP, LLC
Office #1: 4300 West Cypress Street Meridian Two Building, Suite 370, Tampa, FL 33607RIA
CRD#: 310394
TAMPA, FL
Current
March 27, 2024 - Present
LPL FINANCIAL LLC
Office #1: 4300 W. Cypress St. Suite 370, Tampa, FL 33607RIA
BD
CRD#: 6413
TAMPA, FL
Past
January 4, 2019 - April 9, 2024
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
TAMPA, FL
Past
August 1, 2014 - April 9, 2024
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
TAMPA, FL
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".
NF
NORTHBRIDGE FINANCIAL GROUP, LLC
NORTHBRIDGE FINANCIAL GROUP, LLC
CRD#: 310394 / SEC#: 801-119466
RIA
Registered Investment Advisory firm - (9/14/2020 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.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
Florida(3/27/2024)
IAR
Florida(4/14/2024)
RR
Illinois(3/27/2024)
RR
Texas(3/27/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NF
NORTHBRIDGE FINANCIAL GROUP, LLC
NORTHBRIDGE FINANCIAL GROUP, LLC
CRD#: 310394 / SEC#: 801-119466
RIA
Registered Investment Advisory firm - (9/14/2020 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4300 West Cypress Street Meridian Two Building, Suite 370, Tampa, FL 33607
Mailing Address
Phone number
(813) 877-8000
Established
Firm type
Fiscal year end
# of Employees
12
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,200 |
| AUM (Assets Under Management) | $ 305,604,820 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
NORTHBRIDGE FINANCIAL GROUP, LLC
CRD#: 310394Tampa, FL 33607TRUST BUT VERIFY
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