Ramon L. Dominguez Thomas
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 Luis Dominguez Thomas, who also goes by Ramon Luis Dominguez, Monchi Dominquez, was a registered financial professional .
Ramon is a previously registered financial professional and started their career in finance in 1977. Ramon had worked at 6 firms and has passed the Series 65, Series 52TO, Series 79TO, SIE, Series 3, Series 5, Series 7, Series 9, Series 10, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 1995 - December 31, 2023
RD CAPITAL GROUP, INC.
September 23, 1987 - June 2, 1994
MORGAN STANLEY DW INC.
September 17, 1984 - October 14, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
April 21, 1982 - September 28, 1984
BECKER PARIBAS INCORPORATED
January 31, 1980 - April 15, 1982
UBS FINANCIAL SERVICES INC.
July 1, 1977 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 5
Date: 1/9/1982
Interest Rate Options ExaminationSeries 8
Date: 12/6/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RD CAPITAL GROUP, INC.
CRD#: 37470 / SEC#: , 8-47759
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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