Theodore Sobel
Professional summary
Theodore Sobel, who also goes by Ted Sobel, is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in Orlando, Florida.
Theodore is registered as a RR (Registered Representative) and started their career in finance in 1983. Theodore has worked at 7 firms and has passed the Series 63, Series 52TO, SIE, Series 50, Series 7, Series 54 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Theodore Sobel's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 7, 2009 - Present
SAMUEL A. RAMIREZ & COMPANY, INC.
Office #1: 4767 New Broad Street, Suite 213, Orlando, FL 32814Office #2: 425 S Financial Place Suite 3900, Chicago, IL 60605Office #3: 12130 Millennium Drive Suite 300, Los Angeles, CA 90094Office #4: 700 Milam Street Suite 1300, Houston, TX 77002Office #5: 700 N. St. Mary's Street Suite 1400, San Antonio, TX 78205Office #6: 14 East 52nd Street, New York, NY 10022Office #7: 14 East 52nd Street, New York, NY 10022Office #8: 100 Cambridge St, Suite 1400, Boston, MA 02114July 8, 2008 - April 6, 2009
BANC OF AMERICA SECURITIES LLC
January 16, 2006 - July 2, 2008
UBS SECURITIES LLC
March 6, 1995 - January 16, 2006
UBS FINANCIAL SERVICES INC.
August 6, 1990 - December 20, 1994
KIDDER, PEABODY & CO. INCORPORATED
April 10, 1989 - April 30, 1990
MANUFACTURERS HANOVER SECURITIES CORPORATION
October 19, 1983 - January 11, 1989
CITIGROUP GLOBAL MARKETS 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
(7/1/2009)
(9/14/2009)
(7/1/2009)
(7/1/2009)
(10/6/2010)
(4/7/2009)
(7/1/2009)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationFINRA
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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