Juan Alejandro Ramos

CRD 4688810 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · New York, NY

IA RegisteredBroker

Also appears in the source record as: Alex Ramos; Juan A Ramos

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 66Series 7TOSIESeries 7
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): 21
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: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (12)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · IA capacity

Aug 28, 2025 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · BC capacity

start not retrieved → present
Key Investment Services LLC
IA capacity

Apr 4, 2024 → Oct 30, 2024
Key Investment Services LLC
BD capacity

Apr 2, 2024 → Oct 30, 2024
Excel Wealth Management, LLC
IA capacity

Jun 23, 2022 → Jul 27, 2022
Bny Mellon Securities Corporation
BD capacity

Aug 21, 2019 → Jun 14, 2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Feb 26, 2015 → Aug 7, 2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Jan 23, 2015 → Aug 7, 2017
Deutsche Bank Securities Inc.
BD capacity

Aug 30, 2012 → Jan 9, 2015
Ust Securities Corp.
BD capacity

Dec 15, 2006 → Mar 6, 2008
Citigroup Global Markets Inc.
IA capacity

Aug 9, 2005 → Apr 10, 2006
Citigroup Global Markets Inc.
BD capacity

May 2, 2005 → Apr 10, 2006

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 4688810 ↗ FINRA BrokerCheck record for CRD 4688810 ↗ 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.