James M. Cortese
Professional summary
James M Cortese, who also goes by Jamie Cortese, is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1986. James has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James M Cortese's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 14, 2014 - Present
SAMUEL A. RAMIREZ & COMPANY, INC.
Office #1: 14 East 52nd Street, New York, NY 10022August 19, 2013 - January 3, 2014
M. R. BEAL & COMPANY
August 16, 2012 - October 3, 2012
JACKSON SECURITIES LLC
May 10, 2011 - August 7, 2013
M. R. BEAL & COMPANY
March 13, 2009 - November 30, 2010
STERNE, AGEE & LEACH, INC.
January 16, 2006 - June 25, 2008
UBS SECURITIES LLC
December 19, 1997 - January 16, 2006
UBS FINANCIAL SERVICES INC.
August 5, 1991 - March 30, 1994
WELLS FARGO CLEARING SERVICES, LLC
March 19, 1986 - July 23, 1991
MORGAN STANLEY DW 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
(1/31/2014)
(1/15/2014)
(1/15/2014)
(1/17/2014)
(1/17/2014)
(1/15/2014)
(1/14/2014)
(1/31/2014)
(1/15/2014)
(1/16/2014)
(2/27/2014)
(1/14/2014)
(1/24/2014)
Exams
FINRA
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
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