Richard C. Gordon
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.
Richard Charles Gordon, who also goes by Richard C Gordon, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2016 - February 1, 2022
SAMUEL A. RAMIREZ & COMPANY, INC.
July 6, 2011 - February 17, 2016
LOOP CAPITAL MARKETS LLC
November 3, 2010 - June 10, 2011
SUSQUEHANNA FINANCIAL GROUP, LLLP
April 14, 2010 - September 28, 2010
SOUTH STREET SECURITIES LLC
October 31, 2006 - January 11, 2010
UTENDAHL CAPITAL GROUP, LLC
February 19, 1999 - January 11, 2010
UTENDAHL CAPITAL PARTNERS, L.P.
November 11, 1991 - July 20, 1995
MERRILL LYNCH GOVERNMENT SECURITIES INC.
November 11, 1991 - November 24, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 19, 1983 - June 15, 1990
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
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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