Mauricio A. Ramirez

ALLARIA ASSET MANAGEMENT

MIAMI, FL 33131

CRD#: 7349068

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Professional summary

Mauricio Alexander Ramirez, who also goes by Mauricio A Ramirez, Mauricio Ramirez, is a registered financial advisor currently at ALLARIA ASSET MANAGEMENT, LLC located in Miami, Florida and ALLARIA SECURITIES, LLC located in Miami, Florida.

Mauricio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Mauricio has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mauricio A Ramirez | Mauricio Ramirez

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) - RIA

Click below to view Mauricio Alexander Ramirez'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

June 8, 2026 - Present

ALLARIA ASSET MANAGEMENT, LLC

Office #1: 1110 Brickell Avenue Suite 603, Miami, FL 33131

RIA

CRD#: 287513

MIAMI, FL

Current

May 5, 2026 - Present

ALLARIA SECURITIES, LLC

Office #1: 1110 Brickell Avenue Suite 603, Miami, FL 33131

CRD#: 286504

MIAMI, FL

Past

July 12, 2024 - May 1, 2026

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

PINECREST, FL

Past

July 12, 2024 - May 1, 2026

J.P. MORGAN SECURITIES LLC

CRD#: 79

PINECREST, FL

Past

May 17, 2023 - June 28, 2024

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Miami, FL

Past

May 13, 2023 - June 28, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALLARIA ASSET MANAGEMENT, LLC

CRD#: 287513 / SEC#: 801-125025

RIA

Registered Investment Advisory firm - (5/13/2022 Approved)

Florida

Registered Investment Advisory firm - (5/19/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Florida
(5/5/2026)

IAR

Florida
(6/8/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/16/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/13/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/7/2022

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

ALLARIA ASSET MANAGEMENT, LLC

CRD#: 287513 / SEC#: 801-125025

RIA

Registered Investment Advisory firm - (5/13/2022 Approved)

Florida

Registered Investment Advisory firm - (5/19/2022 Terminated)

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Contact information

Main Address

1110 Brickell Avenue Suite 603, Miami, FL 33131

Mailing Address

Phone number

(786) 686-5400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALLARIA ASSET MANAGEMENT BROCHURE (8/15/2025)

Regulatory assets under management

Total Number of Accounts	14
AUM (Assets Under Management)	$ 115,084,978

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.

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Firm Stability Insights

Mauricio A. Ramirez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mauricio Alexander Ramirez's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLARIA SECURITIES, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

ALLARIA ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/16/2023

Series 7TO

Date: 5/13/2023

SIE

Date: 3/7/2022

FINRA

Current Firm

ALLARIA ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLARIA ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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