Ralph F. Papile
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.
Ralph Florindo Papile was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1984. Ralph had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2016 - February 22, 2017
SAMUEL A. RAMIREZ & COMPANY, INC.
July 11, 2014 - February 22, 2016
NATIXIS SECURITIES AMERICAS LLC
August 18, 2009 - June 30, 2014
B. RILEY SECURITIES, INC.
March 12, 2009 - August 4, 2009
AURIA SERVICES CORP.
April 26, 2004 - October 23, 2008
SG AMERICAS SECURITIES, LLC
April 3, 2003 - April 26, 2004
COWEN AND COMPANY
October 28, 2002 - April 3, 2003
R.W.PRESSPRICH & CO.
November 7, 2001 - April 24, 2003
CBA SECURITIES LLC
July 1, 1998 - February 20, 2001
ABN AMRO SECURITIES LLC
January 5, 1998 - July 1, 1998
ING BARING (U.S.) SECURITIES, INC.
December 21, 1994 - February 19, 1998
ABN AMRO SECURITIES LLC
May 20, 1992 - May 3, 1994
MERRION SECURITIES, LLC
October 17, 1991 - June 8, 1992
SCULLY BROTHERS & FOSS
January 11, 1984 - March 9, 1988
NEIE DISCOUNT BROKERAGE SERVICES
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
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