Mckim D. Deguzman
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.
Mckim David Deguzman, who also goes by Mckim D Deguzman, Mckin David Deguzman, was a registered financial professional .
Mckim is a previously registered financial professional and started their career in finance in 1983. Mckim had worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 3, Series 7 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
May 3, 2011 - June 1, 2022
SAMUEL A. RAMIREZ & COMPANY, INC.
March 27, 2009 - March 31, 2011
JEFFERIES LLC
September 14, 2007 - March 27, 2009
DEPFA FIRST ALBANY SECURITIES, LLC
September 14, 2006 - April 17, 2007
NAFA CAPITAL MARKETS, LLC
March 17, 1995 - September 18, 2007
GLEACHER & COMPANY SECURITIES, INC.
March 16, 1992 - March 28, 1995
CREDIT SUISSE SECURITIES (USA) LLC
April 3, 1990 - March 19, 1992
TUCKER ANTHONY INCORPORATED
August 8, 1985 - April 27, 1990
LEHMAN BROTHERS INC.
August 23, 1983 - September 26, 1984
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent 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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