Angelo P. Dicaro

SAMUEL A. RAMIREZ & COMPANY

NEW YORK, NY 10022

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CRD#: 1389912

Professional summary

Angelo Peter Dicaro is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in New York, New York.

Angelo is registered as a RR (Registered Representative) and started their career in finance in 1993. Angelo has worked at 7 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 Angelo Peter Dicaro'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

August 7, 2015 - Present

SAMUEL A. RAMIREZ & COMPANY, INC.

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

CRD#: 6963

NEW YORK, NY

Past

September 10, 2014 - April 9, 2015

CRT CAPITAL GROUP LLC

CRD#: 28830

NEW YORK, NY

Past

May 5, 2008 - September 9, 2014

AUSTIN ATLANTIC CAPITAL INC.

CRD#: 43981

SUMMIT, NJ

Past

May 15, 2003 - February 29, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

December 1, 2000 - May 5, 2003

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

March 9, 1998 - December 1, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 26, 1993 - March 5, 1998

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

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

California
(8/7/2015)

Connecticut
(8/7/2015)

Delaware
(8/7/2015)

District of Columbia
(8/7/2015)

Florida
(8/7/2015)

Hawaii
(8/7/2015)

Maryland
(8/7/2015)

Massachusetts
(8/7/2015)

New Jersey
(8/7/2015)

New York
(8/7/2015)

North Carolina
(12/20/2022)

Pennsylvania
(8/7/2015)

Puerto Rico
(12/20/2022)

Washington
(8/7/2015)

Exams

State Security Law Exam

Series 63

Date: 1/31/1995

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: 10/25/1993

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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Firm Stability Insights

Angelo P. Dicaro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Angelo Peter Dicaro's CRS (Customer Relationship Summary).

Certified licenses

Experience

CRT CAPITAL GROUP LLC

AUSTIN ATLANTIC CAPITAL INC.

J.P. MORGAN SECURITIES INC.

UBS SECURITIES LLC

UBS FINANCIAL SERVICES INC.

PERSHING LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/31/1995

SIE

Date: 10/1/2018

Series 7

Date: 10/25/1993

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.

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