Michael D. Ramirez
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.
Michael Daniel Ramirez, who also goes by Michael Ramirez, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2017. Michael had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2025 - August 10, 2026
VANGUARD MARKETING CORPORATION
July 25, 2025 - August 10, 2026
VANGUARD ADVISERS, INC.
October 6, 2017 - February 15, 2024
UBS FINANCIAL SERVICES INC.
July 6, 2017 - February 15, 2024
UBS FINANCIAL SERVICES 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
What does exam status mean?
Current Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRESTOWSKI, AMBER LYNN | DIRECTOR, VICE PRESIDENT | 5389204 |
| COSBY, MARY CAROLINE | DIRECTOR, VICE PRESIDENT | 7114773 |
| KADJESKI, ANDREW MICHAEL | PRESIDENT, DIRECTOR, CEO | 4708335 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| ROTENBERG, JOANNA MICHELLE | DIRECTOR, SENIOR VICE PRESIDENT | 7559067 |
| SCHADL, JOHN EDWARD | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 6931790 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
| VALENTE, LAUREN MARIE | DIRECTOR, SENIOR VICE PRESIDENT | 6119944 |
Disclosures
| Regulatory Event | 52 |
| Arbitration | 8 |
Red Flags
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