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Juan Alejandro Ramos

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-09-17
NY RA APPROVED 2025-08-28
  • TX RA
    APPROVED
    Since 2025-09-17
  • NY RA
    APPROVED
    Since 2025-08-28

Branch Locations

One Bryant Park Gwim Chief Investment Office (Cio), New York, NY 10036 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Greenwich CT 12/2014 08/2017
Bny Mellon Securities Corporation Greenwich CT 06/2019 06/2022
Bny Mellon Greenwich CT 08/2017 06/2022
Excel Wealth Management, Llc Rocky Hill CT 06/2022 07/2022
Keybank Na Tarrytown NY 07/2022 05/2025
Key Investment Services Llc Brooklyn OH 03/2024 05/2025
Merrill Lynch, Pierce, Fenner & Smith Incorporated New York NY 05/2025 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-08-28
  • S66 Uniform Combined State Law Examination
    2025-08-28
Other Names
  • Juan A Ramos
  • Alex Ramos
  • Juan Alejandro Ramos

View on SEC IAPD

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