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Ricardo Ramirez
29 Years of Experience
Pacific Plisades, CA
2 DisclosuresBroker
Ricardo Ramirez is a registered investment advisor at Hsbc Securities (USA) INC., based in Pacific Plisades, CA, with 29 years of industry experience. Ricardo is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 12,108 clients with $3.8B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
375 advisors
Number of Clients
12,108 clients
Average Client Portfolio
$317K average
Assets Under Management
$3.8B
Fee Structure
Minimum Investment:$50K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 1.50% |
| $250K - $500K | 1.20% |
| $500K - $1.0M | 1.00% |
| $1.0M - $2.0M | 0.90% |
| $2.0M - $5.0M | 0.80% |
| $5.0M - $10.0M | 0.65% |
| $10M+ | 0.55% |
Fees are generally negotiable and can be discounted at the firm's discretion.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
Pacific Plisades, CA
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 1998Denied
Employment Separation After Allegations
August 1997Employment History
Current Registrations
Hsbc Securities (USA) INC.
October 2012 - Present · 14 yrs
Hsbc Securities (USA) INC.Broker
October 2012 - Present · 14 yrs
Hsbc Securities (USA) INC.
October 2012 - Present · 14 yrs
Previous Registrations
Riwm, LLC
May 2012 - October 2012 · 5 mos
Rehmann Financial
August 2011 - September 2012 · 1 yr 1 mo
Global Investor Services, L.C.Broker
June 2011 - May 2012 · 11 mos
Capital Guardian Wealth Management, LLC
November 2009 - March 2010 · 4 mos
Capital Guardian, LLCBroker
June 2009 - March 2010 · 9 mos
Morgan Keegan & Company, INC.
June 2008 - April 2009 · 10 mos
Morgan Keegan & Company, INC.Broker
May 2008 - April 2009 · 11 mos
Asd Brokerage and Investment, INC.
April 2006 - September 2006 · 5 mos
Asd Financial Services CORPBroker
April 2006 - September 2006 · 5 mos
Morgan Stanley
August 2004 - April 2006 · 1 yr 8 mos
Morgan Stanley Dw INC.Broker
August 2004 - April 2006 · 1 yr 8 mos
Uhlmann Price Securities, LLCBroker
April 2003 - May 2004 · 1 yr 1 mo
Prudential Securities IncorporatedBroker
August 1997 - April 2001 · 3 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 1992 - September 1997 · 5 yrs 2 mos
Lehman Brothers INC.Broker
April 1992 - August 1992 · 4 mos
State Registrations24 states
ALAZCACOCTDCFLGAILMAMDMIMNNCNJNMNYOHORPASDTXVAWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.