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Mabel Ramirez

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chicago, IL

Chicago, IL

Dallas, TX

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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_RES 2025-03-31
IL RA APPROVED 2025-03-13
  • TX RA
    APPROVED_RES
    Since 2025-03-31
  • IL RA
    APPROVED
    Since 2025-03-13

Branch Locations

Chicago, IL • United States

110 N Wacker Dr, Chicago, IL 60606 • United States

13355 Noel Rd Division - Texas South, Dallas, TX 75240 • 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
Jpmorgan Chase Bank Chicago IL 02/2016 02/2025
Jpmorgan Securities Llc Chicago IL 02/2016 02/2025
Merrill Lynch, Pierce, Fenner & Smith Incorporated Northbrook IL 03/2025 Present
Previous Registrations
  • 2022-10-10 → 2025-03-02
    J.P. Morgan Securities Llc
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Westerville, OH
    Chicago, IL
    Westerville, OH
    Columbus, OH
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-10-10
S63 Uniform Securities Agent State Law Examination 2006-01-30
  • S66 Uniform Combined State Law Examination
    2022-10-10
  • S63 Uniform Securities Agent State Law Examination
    2006-01-30
Other Names
  • Mabel Nieto
  • Mabel Vargas
  • Mabel Nieto

View on SEC IAPD

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James Michael Franch
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CARLYLE KELLY MADDEN
PHILIP JOHN RIDOLPHI
SUSAN MARY SHACKLETTE
KRISTI LYNN MILLS
NATHANIEL MITCHELL COLEMAN
KEITH MATTHEW CARDOZA

Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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