Haselkorn & Thibaut has opened an investigation into Oswaldo Horacio Ramos of Northridge, CA, currently registered with LPL Financial LLC. If you invested with Oswaldo Ramos and have concerns about your investments, this detailed report is designed just for you. With over 50 years combined experience, and a 98% success rate recovering millions of dollars for clients nationwide, Haselkorn & Thibaut offers a free, confidential consultation—call 1-888-885-7162 or visit investmentfraudlawyers.com today. No recovery. No fee.
Who Is Oswaldo Horacio Ramos?
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Oswaldo Horacio Ramos (also professionally known as Ozzie Ramos) is an experienced broker and investment advisor based in Northridge, California. As of June 2025, he is registered as both a broker and investment advisor with LPL Financial LLC (check official records at FINRA BrokerCheck).
Mr. Ramos has built a respected 30-year career in the securities industry. Across nearly three decades, he has served clients at six broker-dealers, including Western International Securities, Inc., Citigroup Global Markets Inc., and WAMU Investments, Inc. Currently, he operates out of LPL Financial’s Northridge, California office, helping investors nationwide—from California and Arizona to Florida, Texas, and New York.
Career Highlights and Credentials
- CRD Number: 2572345
- Registered Since: 1995 (30 years in the industry)
- Status: Active Broker & Investment Advisor (Registered in 14 states)
- Current Firm: LPL Financial LLC (as of June 5, 2025)
- Previous Firm: Western International Securities, Inc. (April 2018 – June 2025)
- No regulatory bars or actions
Disclosure Report: Customer Complaints Against Oswaldo Ramos
One of the most important factors in evaluating a financial advisor is whether they have disclosures or complaints on their record. Here is a complete, up-to-date list of complaints disclosed as of December 2025:
| Date Filed | Type | Allegation | Amount Requested | Settlement Amount | Status | Product Type | Broker Comment |
|---|---|---|---|---|---|---|---|
| Nov 22, 2024 | Customer Dispute | Client alleged that investment recommendations were unsuitable and misleading. Investments were purchased June-October 2020. | $80,000.00 | $37,500.00 | Settled | Not Specified | Not Available |
- Summary: Only one customer dispute on record from November 2024 alleging unsuitable and misleading investment advice. Settled for $37,500—about 47% of what the client originally requested. No regulatory actions or disciplinary events reported. No additional complaints on record.
What Does a “Customer Dispute” Mean For Investors?
Customer complaints and settlements are crucial when researching a trusted advisor. This type of disclosure means a client or clients questioned the appropriateness and accuracy of investment recommendations. Cases like these are common in the industry—and their seriousness often depends on specifics of each case and patterns of conduct.
In Mr. Ramos’s case, this is the only client dispute after 30 years serving hundreds or thousands of clients. The matter was settled for less than half of what was requested, suggesting a possible compromise rather than an outright finding of wrongdoing. There are no indications of repeat issues or regulatory enforcement actions.
Career Timeline & Employer History
- LPL Financial LLC (Current – Northridge, CA): Registered since June 2025
- Western International Securities, Inc. (Northridge, CA): April 2018 – June 2025
- Citigroup Global Markets Inc. (Van Nuys, CA): December 2007 – May 2018
- WAMU Investments, Inc. (San Fernando, CA): January 1999 – December 2007
- Griffin Financial Services: March 1998 – January 1999
- FIMCO Securities Group Inc. (Port Washington, WI): January 1995 – March 1998
What Should Investors Do Next?
If you invested with Oswaldo Horacio Ramos in Northridge, CA or through LPL Financial LLC and have concerns about investment recommendations, portfolio losses, or suspect your investments were not suitable for your objectives, it’s important to take prompt action.
Haselkorn & Thibaut’s experienced investment fraud team is already investigating on behalf of investors. Our goal is to answer your questions, review your portfolio, and—if there is evidence of wrongdoing—help you recover your losses quickly and professionally. There is never a fee for our initial consultation, and there is never a charge unless we recover money for you.
Key Takeaways for Investors
- Oswaldo Ramos is a long-standing broker and advisor with a single customer dispute settled in 30 years of industry service.
- The disclosure involved an allegation of unsuitable and misleading investment recommendations relating to purchases between June-October 2020, settled for $37,500.
- He is currently registered in good standing with LPL Financial LLC in Northridge, CA, serving clients in 14 states including California, Arizona, Nevada, Texas, and Florida.
- No regulatory disciplinary actions or bars have been reported.
Free Case Review and Consultation
Worried about investment losses or questionable advice from Oswaldo Ramos or another advisor at LPL Financial in Northridge, California? You deserve answers and trusted legal guidance. Contact Haselkorn & Thibaut now at 1-888-885-7162 for a free, private consultation with an experienced securities lawyer. There’s no cost unless we recover money for you. Don’t delay—time limits may apply to your recovery rights. Our team will treat your concerns with empathy and professionalism, every step of the way.
