Robert Karen

SAMUEL A. RAMIREZ & COMPANY

NEW YORK, NY 10022

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CRD#: 1832912

Professional summary

Robert Karen is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1996. Robert has worked at 7 firms and has passed the Series 63, Series 79TO, 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 Robert Karen'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

December 6, 2023 - Present

SAMUEL A. RAMIREZ & COMPANY, INC.

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

CRD#: 6963

NEW YORK, NY

Past

January 21, 2022 - July 18, 2023

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

October 3, 2011 - February 21, 2020

NATIXIS SECURITIES AMERICAS LLC

CRD#: 1101

NEW YORK, NY

Past

October 8, 2008 - October 3, 2011

NATIXIS SECURITIES NORTH AMERICA INC.

CRD#: 28722

NEW YORK, NY

Past

August 15, 2000 - June 16, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

February 18, 1999 - August 21, 2000

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

May 14, 1996 - June 2, 1998

BANCAMERICA SECURITIES, INC.

CRD#: 17977

SAN FRANCISCO, CA

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
(8/20/2025)

Connecticut
(8/20/2025)

Illinois
(8/20/2025)

Massachusetts
(8/20/2025)

New York
(12/6/2023)

Exams

State Security Law Exam

Series 63

Date: 5/9/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/3/1996

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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Robert Karen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Karen's CRS (Customer Relationship Summary).

Certified licenses

Experience

COWEN AND COMPANY

NATIXIS SECURITIES AMERICAS LLC

NATIXIS SECURITIES NORTH AMERICA INC.

J.P. MORGAN SECURITIES LLC

CIBC WORLD MARKETS CORP.

BANCAMERICA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/9/1996

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/3/1996

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.

TRUST BUT VERIFY

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