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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

Raymond Ramos

Advisor at CHARLES SCHWAB & CO., INC.

Boerne, TX | Indianapolis, IN

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Search this name across graphsid dfx:ria:d8ac3bd8-7dd2-4749-862c-2a464b6496db

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: May 24, 2006 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: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 11, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Feb 11, 2005
First registration: May 24, 2006
Dual registered: yes, broker-dealer
Other names: RAY RAMOS
IAPD individual key: 3021445

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
CHARLES SCHWAB & CO., INC.	National bd RIA	Mar 6, 2022	n/a	yes	Indianapolis, IN\|Boerne, TX	Current employment
USAA INVESTMENT SERVICES COMPANY	No RAUM reported	Jan 8, 2018	Dec 31, 2021	no	SAN ANTONIO, TX\|SAN ANTONIO, TX\|COLORADO SPRINGS, CO	Previous registration
USAA FINANCIAL PLANNING SERVICES	Former SEC adviser	Apr 27, 2017	Jan 8, 2018	no	SAN ANTONIO, TX	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Jul 5, 2016	Mar 9, 2017	no	SAN ANTONIO, TX\|SAN ANTONIO, TX\|SAN ANTONIO, TX\|SAN ANTONIO, TX\|SAN ANTONIO, TX	Previous registration
CAPITAL ONE ADVISORS, LLC	Former SEC adviser	Jan 28, 2015	Jun 28, 2016	no	SEATTLE, WA	Previous registration
CAPITAL ONE FINANCIAL ADVISORS LLC	n/a	Dec 24, 2014	Jan 28, 2015	no	SAN ANTONIO, TX	Previous registration
USAA FINANCIAL PLANNING SERVICES	Former SEC adviser	Dec 3, 2009	Jul 15, 2014	no	SAN ANTONIO, TX	Previous registration
USAA FINANCIAL PLANNING SERVICES	Former SEC adviser	Aug 1, 2008	May 12, 2009	no	SAN ANTONIO, TX	Previous registration
USAA INVESTMENT SERVICES COMPANY	No RAUM reported	May 24, 2006	Dec 31, 2008	no	SAN ANTONIO, TX\|SAN ANTONIO, TX\|SAN ANTONIO, TX\|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
USAA INVESTMENT SERVICES COMPANY	CHARLES SCHWAB & CO., INC.	Dec 31, 2021	Mar 6, 2022	65	Firm change	Other
USAA FINANCIAL PLANNING SERVICES	USAA INVESTMENT SERVICES COMPANY	Jan 8, 2018	Jan 8, 2018	0	Bulk transfer	Other
J.P. MORGAN SECURITIES LLC	USAA FINANCIAL PLANNING SERVICES	Mar 9, 2017	Apr 27, 2017	49	Firm change	Other
CAPITAL ONE ADVISORS, LLC	J.P. MORGAN SECURITIES LLC	Jun 28, 2016	Jul 5, 2016	7	Firm change	Other
CAPITAL ONE FINANCIAL ADVISORS LLC	CAPITAL ONE ADVISORS, LLC	Jan 28, 2015	Jan 28, 2015	0	Bulk transfer	Other
USAA FINANCIAL PLANNING SERVICES	CAPITAL ONE FINANCIAL ADVISORS LLC	Jul 15, 2014	Dec 24, 2014	162	Firm change	Other
USAA INVESTMENT SERVICES COMPANY	USAA FINANCIAL PLANNING SERVICES	Dec 31, 2008	Aug 1, 2008	-152	Bulk transfer	Other

Team moves

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

Team	Left	Joined	From	Kind
136865:79:WA:2016-06-24	Jun 28, 2016	Jul 5, 2016	SEATTLE, WA	Firm change

Relationships

Registered with (6)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Mar 6, 2022 to presentfactForm ADV
→ USAA INVESTMENT SERVICES COMPANYRegistered adviserregistration: previous registration
Jan 8, 2018 to Dec 31, 2021factForm ADV
→ USAA FINANCIAL PLANNING SERVICESRegistered adviserregistration: previous registration
Apr 27, 2017 to Jan 8, 2018factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Jul 5, 2016 to Mar 9, 2017factForm ADV
→ CAPITAL ONE ADVISORS, LLCRegistered adviserregistration: previous registration
Jan 28, 2015 to Jun 28, 2016factForm ADV
→ CAPITAL ONE FINANCIAL ADVISORS LLCRegistered adviserregistration: previous registration
Dec 24, 2014 to Jan 28, 2015factForm ADV

Dated events

No dated event names this entity yet.