Theodore Sobel
Professional Summary
Theodore Sobel, who also goes by Ted Sobel, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Theodore Sobel, Ted Sobel
Similar Advisors
NYLIFE SECURITIES LLC
CONFIDO CAPITAL, LLC
MORGAN STANLEY
ROFFMAN MILLER ASSOCIATES INC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
NYLIFE SECURITIES LLC
CONFIDO CAPITAL, LLC
MORGAN STANLEY
ROFFMAN MILLER ASSOCIATES INC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
NYLIFE SECURITIES LLC
CONFIDO CAPITAL, LLC
MORGAN STANLEY
ROFFMAN MILLER ASSOCIATES INC
Disclosures on record.
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.
Similar Advisors
NYLIFE SECURITIES LLC
CONFIDO CAPITAL, LLC
MORGAN STANLEY
ROFFMAN MILLER ASSOCIATES INC
Years of Experience
43 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
NYLIFE SECURITIES LLC
CONFIDO CAPITAL, LLC
MORGAN STANLEY
ROFFMAN MILLER ASSOCIATES INC
Current Firm
RAMIREZ | SAMUEL A. RAMIREZ & COMPANY, INC. | SAMUEL A. RAMIREZ & CO., INC. | SAMUEL A RAMIREZ & CO., INC. | RAMIREZ & CO., INC. | RAMIREZ & CO., INC
Contact Information
Main Address
14 East 52nd Street, New York, NY 10022Mailing Address
14 East 52nd Street, New York, NY 10022Phone Number
(212) 248-0500Established
New York since 12/31/1971Firm Type
CorporationFiscal Year End
SeptemberFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US 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
6Arbitration
2Similar Advisors
NYLIFE SECURITIES LLC
CONFIDO CAPITAL, LLC
MORGAN STANLEY
ROFFMAN MILLER ASSOCIATES INC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
Similar Advisors
NYLIFE SECURITIES LLC
CONFIDO CAPITAL, LLC
MORGAN STANLEY
ROFFMAN MILLER ASSOCIATES INC
State Registrations and Notice Filings
(7/1/2009)
(9/14/2009)
(7/1/2009)
(7/1/2009)
(10/6/2010)
(4/7/2009)
(7/1/2009)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSeries 50 — Municipal Advisor Representative Qualification Exam
Passed Mar 2017About the Series 50 examSeries 54 — Municipal Advisor Principal Qualification Examination
Passed Apr 2019About the Series 54 examSRO Registrations
Similar Advisors
NYLIFE SECURITIES LLC
CONFIDO CAPITAL, LLC
MORGAN STANLEY
ROFFMAN MILLER ASSOCIATES INC
CRS (Client Relationship Summary) - BD
Click below to view Theodore Sobel's CRS (Customer Relationship Summary).
Similar Advisors
NYLIFE SECURITIES LLC
CONFIDO CAPITAL, LLC
MORGAN STANLEY
ROFFMAN MILLER ASSOCIATES INC