Oswaldo Ramos
Oswaldo Ramos is a registered investment advisor at LPL Financial LLC, based in Northridge, CA, with 31 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
9221 Corbin Ave., Ste. 120, Northridge, CA, 91324
Get directionsHistory
Regulatory History (1)
Customer Dispute
November 2024Other Business ActivitiesSells Insurance
Oswaldo is an agent for accident & health, life, and variable insurance. He is also the president of Oswaldo H Ramos Corp, a corporation used to pay business expenses.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Western International Securities, INC.Broker
Western International Securities
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Wamu Investments, INC.Broker
Griffin Financial ServicesBroker
Fimco Securities Group, INC.Broker
State Registrations8 states
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.