James E. Ramos
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.
James Edward Ramos, who also goes by James Edward Ramos, James Ramos, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2015. James had worked at 6 firms and has passed the Series 63, SIE and Series 79 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2024 - August 14, 2026
TCBI SECURITIES, INC.
January 18, 2024 - August 13, 2024
PIPER SANDLER & CO.
June 15, 2021 - May 12, 2023
LAZARD FRERES & CO. LLC
July 17, 2019 - May 25, 2021
HOULIHAN LOKEY CAPITAL, INC.
January 6, 2017 - June 14, 2019
BARCLAYS CAPITAL INC.
January 3, 2015 - June 23, 2016
CITIGROUP GLOBAL MARKETS INC.
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
TCBI SECURITIES, INC.
CRD#: 313304 / SEC#: , 8-70682
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEXAS CAPITAL BANCSHARES, INC. | OWNER | |
| ALVARADO, ANNA MARIA | DIRECTOR | 4433966 |
| COLPITTS, JOEL BRIAN | PRINCIPAL FINANCIAL OFFICER AND FIN/OP | 2376942 |
| GENYK, STEVEN | MUNICIPAL SECURITIES PRINCIPAL | 2324120 |
| GETTY, JOSEPH MATTHEW | AMLCO | 6343874 |
| HOLMES, ROBERT C | DIRECTOR | 2948416 |
| HOVERMAN, DANIEL STEPHENS | DIRECTOR, PRESIDENT | 5281289 |
| OMAN, DAVID | DIRECTOR | 5685397 |
| RIVERA, JASON | CHIEF COMPLIANCE OFFICER | 5010925 |
| SCURLOCK, JOHN MATTHEW | DIRECTOR | 7521986 |
Red Flags
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