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PK

Peter D. Koch

SAMUEL A. RAMIREZ & COMPANY
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 1348128
PK

Professional summary

Peter D Koch, who also goes by Pete Koch, Peter Daucher Koch, is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in New York, New York.

Peter is registered as a RR (Registered Representative) and started their career in finance in 1988. Peter has worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 52 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Pete Koch | Peter Daucher Koch

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 Peter D Koch'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 16, 2010 - Present

SAMUEL A. RAMIREZ & COMPANY, INC.

Office #1: 14 East 52nd Street, New York, NY 10022
BD
CRD#: 6963
NEW YORK, NY
Past

October 1, 2008 - March 19, 2010

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

March 22, 2006 - October 21, 2008

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

March 4, 2002 - March 7, 2006

TMC BONDS L.L.C.

BD
CRD#: 104507
NEW YORK, NY
Past

July 17, 2001 - November 5, 2001

BONDBOOK, LLC

BD
CRD#: 104209
NEW YORK, NY
Past

February 12, 2001 - February 4, 2002

MARKETAXESS CORPORATION

BD
CRD#: 44542
NEW YORK, NY
Past

December 9, 1998 - January 18, 2000

J.J. KENNY DRAKE, INC.

BD
CRD#: 7118
NEW YORK, NY
Past

April 2, 1997 - December 8, 1998

HARTFIELD, TITUS & DONNELLY, LLC

BD
CRD#: 7117
JERSEY CITY, NJ
Past

January 19, 1993 - April 9, 1997

TULLETT & TOKYO SECURITIES, INC.

BD
CRD#: 19595
NEW YORK, NY
Past

September 18, 1992 - January 18, 1993

MINT BROKERS

BD
CRD#: 13681
NEW YORK, NY
Past

May 29, 1990 - April 29, 1992

MUNICIPAL PARTNERS INC.

BD
CRD#: 24513
NEW YORK, NY
Past

April 24, 1989 - May 15, 1990

J.J. KENNY DRAKE, INC.

BD
CRD#: 7118
NEW YORK, NY
Past

December 16, 1988 - April 24, 1989

CLIFFORD DRAKE & COMPANY INC.

BD
CRD#: 7092

State Registrations and Notice Filings

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

RR
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

RR
Arizona
(3/16/2010)
RR
California
(3/16/2010)
RR
Colorado
(3/16/2010)
RR
Connecticut
(3/16/2010)
RR
Delaware
(3/16/2010)
RR
District of Columbia
(3/16/2010)
RR
Florida
(3/16/2010)
RR
Georgia
(3/16/2010)
RR
Idaho
(3/16/2010)
RR
Illinois
(3/16/2010)
RR
Indiana
(3/16/2010)
RR
Kentucky
(3/16/2010)
RR
Louisiana
(3/16/2010)
RR
Maine
(3/16/2010)
RR
Maryland
(3/16/2010)
RR
Massachusetts
(3/16/2010)
RR
Michigan
(3/16/2010)
RR
Minnesota
(3/16/2010)
RR
Missouri
(3/16/2010)
RR
Montana
(3/16/2010)
RR
Nevada
(3/16/2010)
RR
New Hampshire
(3/16/2010)
RR
New Jersey
(3/16/2010)
RR
New Mexico
(3/16/2010)
RR
New York
(3/16/2010)
RR
North Carolina
(3/16/2010)
RR
Ohio
(3/16/2010)
RR
Oklahoma
(3/16/2010)
RR
Pennsylvania
(3/16/2010)
RR
Puerto Rico
(3/16/2010)
RR
Rhode Island
(3/16/2010)
RR
South Carolina
(3/16/2010)
RR
Texas
(3/16/2010)
RR
Vermont
(3/16/2010)
RR
Virginia
(3/16/2010)
RR
Washington
(3/16/2010)
RR
West Virginia
(3/16/2010)
RR
Wisconsin
(3/16/2010)
RR
Wyoming
(3/16/2010)

Exams

State Security Law Exam
RR
Series 63
Date: 6/19/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/9/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 12/15/1988
Municipal Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SA
SAMUEL A. RAMIREZ & COMPANY, INC.
RAMIREZ | SAMUEL A. RAMIREZ & COMPANY, INC. | SAMUEL A. RAMIREZ & CO., INC. | SAMUEL A RAMIREZ & CO., INC. | RAMIREZ & CO., INC. | RAMIREZ & CO., INC

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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SAR HOLDINGS, INC.HOLDING COMPANY
GOLDMAN, LAWRENCE FMANAGING DIRECTOR1134640
KICK, MICHAEL JSR. VP/ CFO/ FIN OP4480676
KOFFER, JOSEPHCHIEF COMPLIANCE OFFICER6043686
MAZZARO, VINCENT ANTHONYCOO2665339
PERROTTA, THOMASMANAGING DIRECTOR1864851
RAMIREZ, SAMUEL ALFREDPRESIDENT & DIRECTOR/SECRETARY827095
RAMIREZ,, SAMUEL ALFRED JRMANAGING DIRECTOR2261054

Disclosures

Regulatory Event6
Arbitration2

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.

Company Information

SAMUEL A. RAMIREZ & COMPANY, INC.

CRD#: 6963New York, NY 10022

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