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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)26 years in industry

Samuel Ramos

Advisor at LPL FINANCIAL LLC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3a0f9ac9-dffb-c33a-39ae-3450ec247c0f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Feb 13, 2006 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 26, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Jan 26, 2000
First registration: Feb 13, 2006
Dual registered: yes, broker-dealer
Other names: SAMUEL R RAMOS|SAM RAMOS|SAMMY RAMOS|SAMUEL R RODRIGUEZ|SAMUEL RODRIGUEZ RAMOS
IAPD individual key: 3199463

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Jan 1, 2025	n/a	yes	NEWPORT BEACH, CA\|ORANGE, CA\|CORONA, CA\|FULLERTON, CA\|LAGUNA NIGUEL, CA\|BREA, CA\|LAGUNA BEACH, CA\|SAN DIEGO, CA\|HUNTINGTON BEACH, CA\|ORANGE, CA\|SANTA ANA, CA\|LAGUNA HILLS, CA\|SAN DIEGO, CA	Current employment
RBC SECURITIES, INC.	Bd affiliated wealth	Jan 9, 2019	Nov 3, 2023	no	IRVINE, CA	Previous registration
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	Feb 13, 2006	Jan 7, 2019	no	SAN JUAN CAPISTRANO, CA\|MISSION VIEJO, CA\|SAN CLEMENTE, CA\|LAGUNA BEACH, CA\|SAN CLEMENTE, CA\|FOOTHILL RANCH, CA\|LAGUNA HILLS, CA\|DANA POINT, CA\|SAN JUAN CAPISTRANO, CA\|LOS ANGELES, CA\|SANTA ANA, CA\|LONG BEACH, CA\|ORANGE, CA\|LAGUNA HILLS, CA\|ORANGE, CA\|BELLFLOWER, CA\|CYPRESS, CA\|LAGUNA BEACH, CA\|LAGUNA HILLS, CA\|LAGUNA BEACH, CA\|FOOTHILL RANCH, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
RBC SECURITIES, INC.	LPL FINANCIAL LLC	Nov 3, 2023	Jan 1, 2025	425	Firm change after gap	RIA to ibd
U.S. BANCORP ADVISORS, LLC	RBC SECURITIES, INC.	Jan 7, 2019	Jan 9, 2019	2	Firm change	Ibd to RIA

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
14455:103705:CA:2019-01-03	Jan 7, 2019	Jan 9, 2019	FOOTHILL RANCH, CA	Firm change

Relationships

Registered with (3)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV
→ RBC SECURITIES, INC.Registered adviserregistration: previous registration
Jan 9, 2019 to Nov 3, 2023factForm ADV
→ U.S. BANCORP ADVISORS, LLCRegistered adviserregistration: previous registration
Feb 13, 2006 to Jan 7, 2019factForm ADV

Dated events

Occurred
Nov 3, 2023
Advisor changed firm
Samuel Ramos left Rbc Securities, Inc. for Lpl Financial Llc (registered 2025-01-01)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3a0f9ac9-dffb-c33a-39ae-3450ec247c0f
First observed: Feb 13, 2006
Last observed: Sep 15, 2026 5 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

Samuel Ramos

Advisor at LPL FINANCIAL LLC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3a0f9ac9-dffb-c33a-39ae-3450ec247c0f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:15 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

LPL FINANCIAL LLC

Bd affiliated wealth

Jan 1, 2025

n/a

yes

Current employment

RBC SECURITIES, INC.

Bd affiliated wealth

Jan 9, 2019

Nov 3, 2023

IRVINE, CA

Previous registration

U.S. BANCORP ADVISORS, LLC

Bd affiliated wealth

Feb 13, 2006

Jan 7, 2019

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

RBC SECURITIES, INC.

LPL FINANCIAL LLC

Nov 3, 2023

Jan 1, 2025

425

Firm change after gap

RIA to ibd

U.S. BANCORP ADVISORS, LLC

RBC SECURITIES, INC.

Jan 7, 2019

Jan 9, 2019

Firm change

Ibd to RIA

Team

Left

Joined

From

Kind

14455:103705:CA:2019-01-03

Jan 7, 2019

Jan 9, 2019

FOOTHILL RANCH, CA

Firm change