Individual Firm
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RICARDO RAMIREZ
RICARDO RAMIREZ DE LA ESPRIELLA
CRD#: 2143959
IA
B
HSBC SECURITIES (USA) INC.CRD#: 19585 Pacific Palisades, CA
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4/2/1998
Customer Dispute
Denied
8/26/1997
Employment Separation After Allegations
State Registrations
B
Alabama 3/2/2020
B
Minnesota 11/8/2023
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Alabama 3/2/2020
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Minnesota 11/8/2023
B
California 3/11/2013
B
New Jersey 2/19/2016
IA
California 10/29/2021
B
New Mexico 2/9/2018
B
Colorado 5/3/2021
B
New York 10/10/2012
B
Connecticut 2/22/2016
IA
New York 7/12/2021
B
District of Columbia 3/25/2015
B
North Carolina 7/19/2013
IA
District of Columbia 4/3/2020
B
Ohio 9/13/2017
IA
Florida 10/8/2012
IA
Ohio 9/13/2017
B
Florida 10/10/2012
B
Oregon 3/26/2020
B
Georgia 3/11/2013
B
Pennsylvania 2/27/2015
B
Illinois 7/18/2013
B
South Dakota 7/21/2023
B
Maryland 3/25/2013
B
Texas 1/29/2019
IA
Maryland 3/26/2013
IA
Texas 1/29/2019
B
Massachusetts 11/6/2015
B
Virginia 4/19/2023
B
Michigan 4/23/2019
B
Washington 3/11/2013
IA
Michigan 4/23/2019
SRO Registrations
B
B
B
B
B
B
B
B
B
B
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B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
B
Registered with this firm since 10/9/2012
IA
Registered with this firm since 10/8/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/09/2012 - 10/31/2012 | MIAMI, FL | |
IA | 08/04/2011 - 09/06/2012 | MIAMIL, FL | |
B | 06/02/2011 - 05/09/2012 | MIAMI, FL | |
IA | 11/06/2009 - 03/05/2010 | MIAMI, FL | |
B | 06/30/2009 - 03/05/2010 | MIAMI, FL | |
IA | 06/16/2008 - 04/06/2009 | CORAL GABLES, FL | |
B | 05/28/2008 - 04/06/2009 | MEMPHIS, TN | |
IA | 04/13/2006 - 09/26/2006 | CORAL GABLES, FL | |
B | 04/04/2006 - 09/26/2006 | CORAL GABLES, FL | |
IA | 08/20/2004 - 04/04/2006 | MIAMI, FL | |
B | 08/17/2004 - 04/04/2006 | PURCHASE, NY | |
B | 04/21/2003 - 05/20/2004 | SKOKIE, IL | |
B | 08/27/1997 - 04/25/2001 | NEW YORK, NY | |
B | 07/29/1992 - 09/16/1997 | NEW YORK, NY | |
B | 04/03/1992 - 08/05/1992 | NEW YORK, NY |
MIAMI, FL
06/30/2009 - 03/05/2010
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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