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Detailed Report
David Allen Ramirez
DAVID ALLEN RAMIREZ
CRD#: 4393446
IA
Investment Adviser
B
Broker
EMPOWER ADVISORY GROUP, LLCCRD#: 112058 Lafayette, CA
EMPOWER FINANCIAL SERVICES, INC.CRD#: 13109 Lafayette, CA
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2013 - 2015 (1 year)2 FIRMS2015 - 2015 (<1 year)IAEMPOWER ADVISORY GROUP, LLC (CRD# 112058)2017 - Present (8 years)BEMPOWER FINANCIAL SERVICES, INC. (CRD# 13109)2015 - Present (9 years)BSECURIAN FINANCIAL SERVICES, INC. (CRD# 15296)2001 - 2011 (9 years)BC.R.I. SECURITIES, INC. (CRD# 22589)2001 - 2004 (2 years)IAPRECEPT ADVISORY GROUP LLC (CRD# 152776)2011 - 2013 (1 year)
License(s)

State Registrations

B
California 10/26/2015
B
Idaho 7/19/2023
IA
California 3/7/2017
B
North Dakota 11/1/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
EMPOWER ADVISORY GROUP, LLC (CRD#:112058)
Lafayette, CA
Registered with this firm since 3/7/2017
B
EMPOWER FINANCIAL SERVICES, INC. (CRD#:13109)
Lafayette, CA
Registered with this firm since 10/23/2015
Previous Registration(s)
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IA
 04/14/2015 - 10/16/2015 SIGNATOR INVESTORS, INC. (CRD#:468) WESTWOOD, MA
B
 04/14/2015 - 10/16/2015 SIGNATOR INVESTORS, INC. (CRD#:468) WESTWOOD, MA
IA
 06/14/2013 - 04/15/2015 NEW YORK LIFE INVESTMENT MANAGEMENT LLC (CRD#:109591) SAN FRANCISCO, CA
B
 06/11/2013 - 04/15/2015 NYLIFE DISTRIBUTORS LLC (CRD#:35350) JERSEY CITY, NJ
IA
 06/27/2011 - 05/13/2013 PRECEPT ADVISORY GROUP LLC (CRD#:152776) IRVINE, CA
B
 07/25/2001 - 03/02/2011 SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296) ST. PAUL, MN
B
 07/25/2001 - 05/07/2004 C.R.I. SECURITIES, INC. (CRD#:22589) ST. PAUL, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.