Ramses Fisher: FINRA Recommends Action Against Vault Capital Advisor

Malibu financial advisor Ramses Fisher (CRD# 6012559) allegedly engaged in a “deceptive scheme” when selling securities to an investor, according to a recent regulatory investigation. Financial Industry Regulatory Authority records show that the former AXA Advisors broker is currently an investment advisor with Vault Capital.

Mr. Fisher’s BrokerCheck report discloses the recent FINRA investigation into his conduct. Filed in August 2023, the disclosure states that FINRA determined to recommend disciplinary action against him in connection with allegations that he violated securities law and FINRA rules. As FINRA alleges, he made “material false statements and/or material omissions in connection with the sale of securities to an investor” and engaged “in a deceptive scheme in connection with the sale of securities to an investor.” The disclosure alleges that his conduct violated the Securities Exchange Act of 1934, the Securities Act of 1933, and FINRA Rules 2020 and 2010. No disciplinary action has yet been taken against him, according to his BrokerCheck report.

According to the Financial Industry Regulatory Authority and the Securities and Exchange Commission, Ramses Fisher holds one year of securities industry experience. Based in Malibu, California, he has been an investment advisor with Vault Capital since April 2023. His registration history includes Osprey Partners (Westport, Connecticut; 2017), National Securities Corporation (New York, New York; 2017), Reid & Rudiger (New York, New York; 2017), AXA Advisors (Los Angeles, California; 2018), and AXA Advisors (Los Angeles, California; 2018). His credentials include the passage of 11 securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the Registered Options Principal Examination, or Series 4; the Financial and Operations Principal Examination, or Series 27; the General Securities Representative Examination, or Series 7; the Investment Banking Registered Representative Examination, or Series 79TO; the General Securities Representative Examination, or Series 7TO; the National Commodity Futures Examination, or Series 3; the Securities Trader Exam, or Series 57TO; the NYSE Supervisory Analyst Examination, or Series 16; the Uniform Investment Adviser Law Examination, or Series 65; and the Uniform Securities Agent State Law Examination, or Series 63. He is licensed as an investment advisor in California. (Information current as of August 21, 2023.)

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