Raymond Ramos

CRD 3021445 · Charles Schwab & Co., Inc. · Indianapolis, IN

IA RegisteredBroker

Also appears in the source record as: Ray Ramos

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 6Series 65Series 63
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 20
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (15)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Indianapolis, IN · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Boerne, TX · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Indianapolis, IN · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Boerne, TX · IA capacity

start not retrieved → present
Usaa Investment Services Company
San Antonio, TX · BC capacity

Jun 8, 2020 → Dec 31, 2021
Usaa Investment Services Company
San Antonio, TX · IA capacity

Jan 8, 2018 → Dec 31, 2021
Usaa Financial Advisors, Inc.
San Antonio, TX · BC capacity

Apr 27, 2017 → Jun 8, 2020
Usaa Financial Planning Services
San Antonio, TX · IA capacity

Apr 27, 2017 → Jan 8, 2018
J.P. Morgan Securities LLC
San Antonio, TX · IA capacity

Jul 5, 2016 → Mar 9, 2017
J.P. Morgan Securities LLC
San Antonio, TX · BC capacity

Jul 5, 2016 → Mar 9, 2017
Capital One Advisors, LLC
Seattle, WA · IA capacity

Jan 28, 2015 → Jun 28, 2016
Capital One Investing, LLC
San Antonio`, TX · BC capacity

Jan 2, 2015 → Jun 28, 2016
Capital One Financial Advisors LLC
San Antonio, TX · IA capacity

Dec 24, 2014 → Jan 28, 2015
Capital One Investment Services LLC
San Antonio, TX · BC capacity

Dec 17, 2014 → Jan 2, 2015
Frost Brokerage Services, Inc.
Houston, TX · BC capacity

Aug 12, 2014 → Oct 14, 2014

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 3021445 ↗ FINRA BrokerCheck record for CRD 3021445 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.