Kenneth Ramos

Kenneth Carl Ramos is a Managing Director/Investments at Stifel Financial Corp., based in the New York City Metropolitan Area.1 He has extensive experience in helping growth-oriented individuals manage their investments.1

Career History

• Stifel Financial Corp.: Managing Director/Investments (November 2017 - Present)1
• Morgan Stanley: Senior Vice President, Portfolio Manager & Financial Advisor (May 2008 - November 2017)1
• Bear Stearns Companies: Managing Director, Financial Advisor (August 2002 - May 2008)1
• RBC Wealth Management: First Vice President, Financial Advisor (March 2002 - August 2002)1

Language Skills

Ramos has proficiency in several languages:

• Finnish (elementary proficiency)
• German (limited working proficiency)
• Swedish (professional working proficiency)1

Controversies

Ramos has been named in three public disclosures:

1. A customer complaint filed in January 2023 alleging unauthorized and unsuitable trades, failure to follow sell instructions, and inadequate risk explanation, with claimed damages of $389,000.2
2. Resignation from Morgan Stanley Wealth Management in 2017 following allegations of executing transactions without client consultation.2
3. A customer complaint in 2002 regarding sales practices, settled for $8,000.2

Additionally, a pending customer dispute alleges breach of fiduciary duty, unsuitable investments, unauthorized transactions, and other violations, with claimed damages of $1,300,000.3