Rene Ramirez

Current Employers

Advisors Asset Management, Inc.

18925 Base Camp Road Suite 203, Monument, CO 80132 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2017-03-13

TX RA
APPROVED

Since 2017-03-13

Branch Locations

28025 Ih-10 West, Boerne, TX 78006 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial, Llc	San Antonio	TX	01/2016	03/2017
Advisors Asset Management, Inc	Monument	CO	03/2017	Present

01/2016 → 03/2017

Lpl Financial, Llc

San Antonio, TX
03/2017 → Present

Advisors Asset Management, Inc

Monument, CO

Previous Registrations

2016-01-25 → 2017-03-15

Lpl Financial Llc

San Antonio, TX

Allen, TX

San Antonio, TX
2012-01-09 → 2016-01-08

Swbc Investment Company

San Antonio, TX

San Antonio, TX
2010-07-15 → 2011-12-22

Chase Investment Services Corp.

San Antonio, TX

San Antonio, TX

San Antonio, TX

San Antonio, TX

San Antonio, TX

San Antonio, TX
2009-06-01 → 2010-06-04

Morgan Stanley

San Antonio, TX
2008-09-25 → 2009-06-01

Citigroup Global Markets Inc.

San Antonio, TX

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-09-22

S66 Uniform Combined State Law Examination

2008-09-22