Ramon Valdez

Current Employers

Cambridge Investment Research Advisors, Inc.

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2024-10-11
CA	RA	APPROVED	2024-08-16
TX	RA	APPROVED_RES	2024-08-16

CO RA
APPROVED

Since 2024-10-11
CA RA
APPROVED

Since 2024-08-16
TX RA
APPROVED_RES

Since 2024-08-16

Branch Locations

San Juan Capistrano, CA • United States

7545 Irvine Center Dr. Ste. 200, Irvine, CA 92618 • United States

730 17Th St. Ste. 830, Denver, CO 80202 • United States

Disclosures

2 disclosure categories 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 Yes
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Financial Network, Llc	Brea	CA	08/2015	08/2019
Raymond James Financial Services, Inc.	Brea	CA	08/2019	01/2020
Raymond James Financial Services Advisors, Inc.	Brea	CA	08/2019	01/2020
J.W. Cole Financial, Inc.	Tampa	FL	02/2020	08/2024
J.W. Cole Advisors, Inc.	Tampa	FL	02/2020	08/2024
Cambridge Investment Research, Inc.	Fairfield	IA	08/2024	Present
Cambridge Investment Research Advisors, Inc.	Fairfield	IA	08/2024	Present

08/2015 → 08/2019

Wells Fargo Advisors Financial Network, Llc

Brea, CA
08/2019 → 01/2020

Raymond James Financial Services, Inc.

Brea, CA
08/2019 → 01/2020

Raymond James Financial Services Advisors, Inc.

Brea, CA
02/2020 → 08/2024

J.W. Cole Financial, Inc.

Tampa, FL
02/2020 → 08/2024

J.W. Cole Advisors, Inc.

Tampa, FL
08/2024 → Present

Cambridge Investment Research, Inc.

Fairfield, IA
08/2024 → Present

Cambridge Investment Research Advisors, Inc.

Fairfield, IA

Previous Registrations

2020-02-18 → 2024-09-09

J. W. Cole Advisors, Inc.

Brea, CA

Tampa, FL

Irvine, CA
2019-08-28 → 2020-01-30

Raymond James Financial Services Advisors, Inc

Brea, CA
2015-08-07 → 2019-09-10

Wells Fargo Advisors Financial Network, Llc

Brea, CA
2010-07-15 → 2015-08-10

Ubs Financial Services Inc.

Brea, CA
2009-10-23 → 2010-07-19

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Upland, CA

Upland, CA

Ontario, CA

Riverside, CA
2008-02-22 → 2009-10-23

Banc Of America Investment Services, Inc.

Riverside, CA

Upland, CA

Upland, CA
2002-06-07 → 2008-02-25

Wells Fargo Investments, Llc

Chino, CA

Montclair, CA

Claremont, CA

Montclair, CA

Pasadena, CA

La Verne, CA

Other Businesses

1. PROPERTY MANAGER FOR DAD, 6904 E Gage Ave, Bell Gardens CA 90201, United States, 08/15/2024, Property Manager, NIR, 3 HR/MO - 0 HR/MO TRADING 2. DIRECT FIXED ANNUITY, 7545 Irvine Center Dr., Ste 200, Irvine CA 92618, 09/01/2024, Investment Advisor Representative, Insurance/Benefits/Human Resources, NIR, 2 HR/MO, 2 HR/MO TRADING. 3. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF AN RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING, 08/16/2024 4. AXIOM WEALTH ALLIANCE, 730 17th St., Suite 830, Denver CO 80202, United States, 12/01/2022, IAR, DBA Name, NIR, 160 HR/MO, 160 HR/MO TRADING

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-07-02
S63	Uniform Securities Agent State Law Examination	1995-03-21

S65 Uniform Investment Adviser Law Examination

2002-07-02
S63 Uniform Securities Agent State Law Examination

1995-03-21

Other Names

Ramon Valdez
Ramon Valdez

View on SEC IAPD