Joe R. Jennings
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.
Joe Roberts Jennings was a registered financial professional .
Joe is a previously registered financial professional and started their career in finance in 1985. Joe had worked at 14 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2019 - September 30, 2019
SAMUEL A. RAMIREZ & COMPANY, INC.
July 10, 2014 - April 22, 2015
MEDALIST SECURITIES INC.
December 3, 2012 - December 17, 2013
OPPENHEIMER & CO. INC.
March 8, 2012 - November 2, 2012
CRT CAPITAL GROUP LLC
June 21, 2011 - March 26, 2012
PIERPONT CAPITAL ADVISORS LLC
April 12, 2011 - July 20, 2011
COMMERCE STREET INVESTMENT MANAGEMENT
October 14, 2010 - July 20, 2011
COMMERCE STREET CAPITAL, LLC
January 17, 2008 - July 21, 2010
STERNE, AGEE & LEACH, INC.
April 24, 2007 - January 24, 2008
J.P. MORGAN SECURITIES LLC
October 28, 2003 - May 15, 2007
RBC CAPITAL MARKETS, LLC
October 31, 1995 - October 27, 2003
MORGAN KEEGAN & COMPANY, LLC
October 16, 1989 - January 31, 1991
FIRST FUNDS, INC.
October 3, 1988 - February 22, 1989
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
October 25, 1985 - October 3, 1988
UMIC, INC.
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
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.
