DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

RENE RAMIREZ

Advisor at ADVISORS ASSET MANAGEMENT, INC.

BOERNE, TX

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:3c4e2e0e-b16f-7d16-3f56-a2a3645b5151

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Sep 25, 2008 to Sep 14, 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: ADVISORS ASSET MANAGEMENT, INC.
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 22, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 22, 2008
First registration: Sep 25, 2008
Dual registered: yes, broker-dealer
IAPD individual key: 5543135

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
ADVISORS ASSET MANAGEMENT, INC.	Mixed wealth	Mar 13, 2017	n/a	yes	BOERNE, TX	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Jan 25, 2016	Mar 15, 2017	no	SAN ANTONIO, TX\|ALLEN, TX\|SAN ANTONIO, TX	Previous registration
SWBC INVESTMENT COMPANY	Independent wealth	Jan 9, 2012	Jan 8, 2016	no	SAN ANTONIO, TX\|SAN ANTONIO, TX	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jul 15, 2010	Dec 22, 2011	no	SAN ANTONIO, TX\|SAN ANTONIO, TX\|SAN ANTONIO, TX\|SAN ANTONIO, TX\|SAN ANTONIO, TX\|SAN ANTONIO, TX	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jun 4, 2010	no	SAN ANTONIO, TX	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Sep 25, 2008	Jun 1, 2009	no	SAN ANTONIO, TX	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
LPL FINANCIAL LLC	ADVISORS ASSET MANAGEMENT, INC.	Mar 15, 2017	Mar 13, 2017	-2	Firm change	Other
SWBC INVESTMENT COMPANY	LPL FINANCIAL LLC	Jan 8, 2016	Jan 25, 2016	17	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	SWBC INVESTMENT COMPANY	Dec 22, 2011	Jan 9, 2012	18	Firm change	Other
MORGAN STANLEY	CHASE INVESTMENT SERVICES CORP.	Jun 4, 2010	Jul 15, 2010	41	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (6)

→ ADVISORS ASSET MANAGEMENT, INC.Registered adviserregistration: current employment
Mar 13, 2017 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jan 25, 2016 to Mar 15, 2017factForm ADV
→ SWBC INVESTMENT COMPANYRegistered adviserregistration: previous registration
Jan 9, 2012 to Jan 8, 2016factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jul 15, 2010 to Dec 22, 2011factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jun 4, 2010factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Sep 25, 2008 to Jun 1, 2009factForm ADV

Dated events

No dated event names this entity yet.