Jan M. Tapia
Professional summary
Jan Miguel Tapia was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jan is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Jan had worked at 10 firms, which includes SAMUEL A. RAMIREZ & COMPANY INC., DIME SECURITIES INC., CHASE INVESTMENT SERVICES CORP., FIRST MONTAUK SECURITIES CORP., INVESTORS ASSOCIATES INC., TUCKER ANTHONY INCORPORATED, NORTHEAST BROKERAGE SERVICES CORPORATION, GLEACHER & COMPANY SECURITIES INC., PRUDENTIAL EQUITY GROUP LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2001 - March 26, 2003
SAMUEL A. RAMIREZ & COMPANY, INC.
March 27, 2000 - August 30, 2000
DIME SECURITIES, INC.
December 5, 1997 - March 13, 2000
CHASE INVESTMENT SERVICES CORP.
October 3, 1996 - November 24, 1997
FIRST MONTAUK SECURITIES CORP.
February 22, 1996 - December 13, 1996
INVESTORS ASSOCIATES, INC.
July 19, 1994 - December 18, 1995
TUCKER ANTHONY INCORPORATED
April 13, 1993 - July 27, 1994
NORTHEAST BROKERAGE SERVICES CORPORATION
June 19, 1991 - March 31, 1993
GLEACHER & COMPANY SECURITIES, INC.
October 7, 1985 - May 4, 1990
PRUDENTIAL EQUITY GROUP, LLC
September 24, 1985 - October 14, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SAMUEL A. RAMIREZ & COMPANY, INC.
CRD#: 6963 / SEC#: , 8-19014
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAR HOLDINGS, INC. | HOLDING COMPANY | |
| GOLDMAN, LAWRENCE F | MANAGING DIRECTOR | 1134640 |
| KICK, MICHAEL J | SR. VP/ CFO/ FIN OP | 4480676 |
| KOFFER, JOSEPH | CHIEF COMPLIANCE OFFICER | 6043686 |
| MAZZARO, VINCENT ANTHONY | COO | 2665339 |
| PERROTTA, THOMAS | MANAGING DIRECTOR | 1864851 |
| RAMIREZ, SAMUEL ALFRED | PRESIDENT & DIRECTOR/SECRETARY | 827095 |
| RAMIREZ,, SAMUEL ALFRED JR | MANAGING DIRECTOR | 2261054 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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