Nora G. Murphy

SAMUEL A. RAMIREZ & COMPANY

NEW YORK, NY 10022

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CRD#: 1295013

Professional summary

Nora Geraldine Murphy is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in New York, New York.

Nora is registered as a RR (Registered Representative) and started their career in finance in 1984. Nora has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nora Geraldine Murphy's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 5, 2024 - Present

SAMUEL A. RAMIREZ & COMPANY, INC.

Office #1: 14 East 52nd Street, New York, NY 10022

CRD#: 6963

NEW YORK, NY

Past

July 7, 2009 - November 17, 2023

PIPER SANDLER & CO.

CRD#: 665

NEW YORK, NY

Past

October 1, 2008 - July 7, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 16, 2006 - October 21, 2008

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

April 10, 2000 - January 16, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

August 21, 1984 - April 4, 2000

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alaska
(3/7/2024)

California
(3/7/2024)

Colorado
(3/7/2024)

Connecticut
(3/7/2024)

Florida
(3/7/2024)

Georgia
(3/7/2024)

Hawaii
(3/7/2024)

Idaho
(3/7/2024)

Illinois
(3/7/2024)

Indiana
(3/7/2024)

Iowa
(3/7/2024)

Maryland
(3/7/2024)

Massachusetts
(3/7/2024)

Michigan
(3/7/2024)

Minnesota
(3/7/2024)

Nevada
(3/7/2024)

New Jersey
(3/7/2024)

New Mexico
(3/7/2024)

New York
(3/5/2024)

North Carolina
(3/7/2024)

Oklahoma
(3/7/2024)

Oregon
(3/7/2024)

Pennsylvania
(3/7/2024)

South Carolina
(3/7/2024)

Texas
(3/7/2024)

Virginia
(3/7/2024)

Washington
(3/7/2024)

Exams

State Security Law Exam

Series 63

Date: 12/13/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/18/1984

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SAMUEL A. RAMIREZ & COMPANY, INC.

CRD#: 6963 / SEC#: , 8-19014

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

14 East 52nd Street, New York, NY 10022

Mailing Address

14 East 52nd Street, New York, NY 10022

Phone number

(212) 248-0500

Established

New York since 12/31/1971

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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

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.

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Nora G. Murphy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nora Geraldine Murphy's CRS (Customer Relationship Summary).

Certified licenses

Experience

PIPER SANDLER & CO.

UBS FINANCIAL SERVICES INC.

UBS SECURITIES LLC

UBS FINANCIAL SERVICES INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/13/1984

SIE

Date: 10/1/2018

Series 7

Date: 8/18/1984

FINRA

Current Firm

SAMUEL A. RAMIREZ & COMPANY, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SAMUEL A. RAMIREZ & COMPANY, INC.

TRUST BUT VERIFY

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