John F. Taylor
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Francis Taylor was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2018 - April 20, 2020
SAMUEL A. RAMIREZ & COMPANY, INC.
May 4, 2015 - January 31, 2017
W. H. MELL ASSOCIATES, INC.
October 1, 2012 - April 6, 2015
R. SEELAUS & CO., LLC
July 5, 2011 - October 2, 2012
M&T SECURITIES, INC.
March 27, 2009 - April 28, 2011
JEFFERIES LLC
September 17, 2007 - March 27, 2009
DEPFA FIRST ALBANY SECURITIES, LLC
September 20, 1994 - September 18, 2007
GLEACHER & COMPANY SECURITIES, INC.
February 9, 1993 - August 24, 1994
GMS GROUP
October 13, 1992 - February 9, 1993
REICH & CO., INC.
June 1, 1992 - October 2, 1992
CITICORP INVESTMENT SERVICES
January 15, 1987 - December 31, 1987
LINSCO FINANCIAL GROUP, INC.
June 9, 1986 - January 15, 1987
RADFORD CAPITAL CORPORATION
January 28, 1985 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
June 14, 1983 - September 21, 1983
DONALD SHELDON & CO., INC.
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 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
