Robert J. French
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.
Robert James French, who also goes by Robert French, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2014 - May 13, 2019
SAMUEL A. RAMIREZ & COMPANY, INC.
October 1, 2013 - July 22, 2014
R. SEELAUS & CO., LLC
April 5, 2011 - September 3, 2013
SAMUEL A. RAMIREZ & COMPANY, INC.
March 27, 2009 - April 5, 2011
JEFFERIES LLC
September 14, 2007 - March 27, 2009
DEPFA FIRST ALBANY SECURITIES, LLC
March 9, 1993 - September 18, 2007
GLEACHER & COMPANY SECURITIES, INC.
August 9, 1990 - March 3, 1993
W. H. MELL ASSOCIATES, INC.
January 22, 1990 - March 19, 1990
JJC SECURITIES CO., INC.
January 2, 1990 - January 29, 1990
HANIFEN, IMHOFF SECURITIES CORP.
August 23, 1989 - January 2, 1990
MOORE & SCHLEY, CAMERON & CO.
August 23, 1989 - January 29, 1990
J. T. MORAN & CO., INC.
November 19, 1985 - April 27, 1989
J.P. MORGAN SECURITIES LLC
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.
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