Ramon Torres
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.
Ramon Torres III, who also goes by Torres III Ramon, Ramon Torres, was a registered financial professional .
Ramon is a previously registered financial professional and started their career in finance in 2015. Ramon had worked at 3 firms and has passed the Series 66, 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
September 17, 2024 - December 17, 2024
FINALIS SECURITIES LLC
October 2, 2015 - November 23, 2022
NUVEEN ASSET MANAGEMENT, LLC
August 10, 2015 - November 23, 2022
NUVEEN SECURITIES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
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