Paul M. Daly
Professional summary
Paul Morris Daly is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in New York, New York.
Paul is registered as a RR (Registered Representative) and started their career in finance in 1983. Paul has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Paul Morris Daly's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 22, 1999 - Present
SAMUEL A. RAMIREZ & COMPANY, INC.
Office #1: 14 East 52nd Street, New York, NY 10022November 5, 1997 - June 4, 1998
INTERCAPITAL GOVERNMENT SECURITIES INC.
October 20, 1992 - October 7, 1997
CANTOR FITZGERALD SECURITIES
July 25, 1987 - May 14, 1992
INTERCAPITAL GOVERNMENT SECURITIES INC.
August 23, 1983 - January 31, 1986
SAMUEL A. RAMIREZ & COMPANY, 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
(11/18/1999)
(10/7/1999)
(10/29/1999)
(6/2/2015)
(11/9/1999)
(6/14/2004)
(4/12/2012)
(5/22/2013)
(4/9/2008)
(8/22/2001)
(10/8/1999)
(10/21/1999)
(1/17/2001)
(11/24/1999)
(11/17/1999)
(4/30/2007)
(10/8/1999)
(10/12/1999)
(5/10/2002)
(2/8/2000)
(10/7/1999)
(10/7/1999)
(8/29/2008)
(12/11/2014)
(10/12/1999)
(1/31/2017)
Exams
FINRA
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
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