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JR

James E. Ramos

EFFICIENT MARKETS
HOUSTON, TX 77007
Some features on this profile are disabled
CRD#: 6379443
JR
James Edward RamosEFFICIENT MARKETS

Professional summary

James Edward Ramos, who also goes by James Edward Ramos, James Ramos, is a registered financial professional currently at EFFICIENT MARKETS LLC located in Houston, Texas.

James is registered as a RR (Registered Representative) and started their career in finance in 2015. James has worked at 7 firms and has passed the Series 63, SIE and Series 79 exams.

Aliases

James Edward Ramos | James 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) - BD

Click below to view James Edward Ramos's CRS (Customer Relationship Summary).
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®
None

Experience

Current

September 23, 2026 - Present

EFFICIENT MARKETS LLC

Office #1: 1902 Washington Avenue, Suite A, Houston, TX 77007
BD
CRD#: 102100
HOUSTON, TX
Past

August 22, 2024 - August 14, 2026

TCBI SECURITIES, INC.

BD
CRD#: 313304
Houston, TX
Past

January 18, 2024 - August 13, 2024

PIPER SANDLER & CO.

BD
CRD#: 665
HOUSTON, TX
Past

June 15, 2021 - May 12, 2023

LAZARD FRERES & CO. LLC

BD
CRD#: 2528
HOUSTON, TX
Past

July 17, 2019 - May 25, 2021

HOULIHAN LOKEY CAPITAL, INC.

BD
CRD#: 17708
HOUSTON, TX
Past

January 6, 2017 - June 14, 2019

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
HOUSTON, TX
Past

January 3, 2015 - June 23, 2016

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
HOUSTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Alabama
(9/23/2026)
RR
Alaska
(9/23/2026)
RR
Arizona
(9/23/2026)
RR
Arkansas
(9/23/2026)
RR
Connecticut
(9/23/2026)
RR
Florida
(9/23/2026)
RR
Georgia
(9/23/2026)
RR
Idaho
(9/23/2026)
RR
Illinois
(9/23/2026)
RR
Iowa
(9/23/2026)
RR
Kansas
(9/23/2026)
RR
Kentucky
(9/23/2026)
RR
Louisiana
(9/23/2026)
RR
Maine
(9/23/2026)
RR
Maryland
(9/23/2026)
RR
Massachusetts
(9/23/2026)
RR
Michigan
(9/23/2026)
RR
Minnesota
(9/23/2026)
RR
Missouri
(9/23/2026)
RR
Montana
(9/23/2026)
RR
Nebraska
(9/23/2026)
RR
Nevada
(9/23/2026)
RR
New Jersey
(9/23/2026)
RR
New Mexico
(9/23/2026)
RR
New York
(9/23/2026)
RR
North Dakota
(9/23/2026)
RR
Ohio
(9/24/2026)
RR
Oklahoma
(9/23/2026)
RR
Pennsylvania
(9/23/2026)
RR
South Carolina
(9/23/2026)
RR
South Dakota
(9/23/2026)
RR
Texas
(9/23/2026)
RR
Utah
(9/23/2026)
RR
Virginia
(9/23/2026)
RR
West Virginia
(9/23/2026)
RR
Wisconsin
(9/23/2026)
RR
Wyoming
(9/23/2026)

Exams

What does exam status mean?
State Security Law Exam
RR
Series 63
Status Unavailable
Passed: 8/26/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Status Unavailable
Passed: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Status Unavailable
Passed: 1/2/2015
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

EM
EFFICIENT MARKETS LLC
EFFICIENT MARKETS LLC | ENERGYNET.COM. INC. | ENERGYNET.COM, LLC. | ENERGYNET.COM, INC.

CRD#: 102100 / SEC#: , 8-52109

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
1902 Washington Avenue, Suite A, Houston, TX 77007
Mailing Address
1902 Washington Avenue, Suite A, Houston, TX 77007
Phone number
(713) 861-1866
Established
Texas since 03/06/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (41 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ENET HOLDING, LLCSHAREHOLDER
ATHERTON, CHRIS GARYPRESIDENT/CEO/CCO4582381
ROGÉ, SHARI RHENÉEFINOP/PFO/POO1312012

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.

Company Information

EFFICIENT MARKETS LLC

CRD#: 102100Houston, TX 77007

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