Nicholas Ramon
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.
Nicholas Ramon, who also goes by Nicholas Joseph Ramon, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2014. Nicholas had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2020 - October 27, 2025
ALT FUND DISTRIBUTORS LLC
May 17, 2018 - August 29, 2018
NORTHSTAR SECURITIES, LLC
October 16, 2017 - December 13, 2019
S2K FINANCIAL LLC
October 2, 2014 - April 29, 2017
ORCHARD SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
ALT FUND DISTRIBUTORS LLC
CRD#: 146547 / SEC#: , 8-67829
Contact information
FINRA licenses (51 States and Territories)
Documents
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.
