Carlos Ramos

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2015 → 11/2018
  Wells Fargo Bank, Na
  Port Chester, NY
• 05/2015 → 11/2016
  Wells Fargo Advisors, Llc
  Port Chester, NY
• 11/2016 → 11/2018
  Wells Fargo Clearing Services, Llc
  Port Chester, NY
• 01/2019 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Sunset Beach, NC
• 12/2018 → 12/2018
  J.P. Morgan Securities Llc
  New York, NY
• 01/2025 → Present
  Bank Of America, N.A.
  Sunset Beach, NC

Other Businesses

I* 2109295 Name of the other business Rental Property 1 Whether the business is investment-related no Address of the other business Port Chester NY, 10573, Nature of the other business Providing a place to live for others in exchange for money Your position Landlord Title, or relationship with the other business owner Start date of your relationship May 1st, 2018, 1st house Approximate number of hours/month you devote to the other business1 hour a month Number of hours you devote to the other business during securities trading hours 0 Briefly describe your duties relating to the other business Owner of the property I* 2109296 Name of the other business Rental Property 2 Whether the business is investment-related no Address of the other business Little River, SC, 29566 Nature of the other business Providing a place to live for others in exchange for money Your position Landlord Title, or relationship with the other business Owner Start date of your relationship Sep 1st, 2022, 2nd house Approximate number of hours/month you devote to the other business1 hour a month Number of hours you devote to the other business during securities trading hours0 Briefly describe your duties relating to the other business Owner of the property I* 2079271, Entity Type, Entity For Profit Name of OBA: Smoothie King Address: Southport, North Carolina, 28461, United States Investment Related: No Position, Title, Association: Employee: Owner Employee Start Date: 04/01/2025. No Hours: 16hrs/week No Hours during trading: 0 Duties: selling smoothie is the purpose and i will be hiring a team to run it.

Exams

• S66 Uniform Combined State Law Examination
  2025-02-05
• S63 Uniform Securities Agent State Law Examination
  2010-07-02

Other Names

• Carlos J Ramos
• Carlos Javier Ramos