Michael J. Frankel
Professional summary
Michael J Frankel, who also goes by Michael J Frankel, Michael Jay Frankel, is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1988. Michael has worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael J Frankel's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 2, 2023 - Present
SAMUEL A. RAMIREZ & COMPANY, INC.
Office #1: 14 East 52nd Street, New York, NY 10022June 12, 2017 - November 28, 2022
HILLTOP SECURITIES INC.
December 22, 2014 - June 23, 2017
MAXIM GROUP LLC
February 2, 2012 - November 6, 2014
HAPOALIM SECURITIES USA, INC.
March 31, 2008 - February 9, 2012
OPPENHEIMER & CO. INC.
March 31, 2006 - March 10, 2008
STERNE, AGEE & LEACH, INC.
March 8, 2006 - April 3, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 23, 2004 - March 8, 2006
ADVEST, INC.
February 19, 2004 - March 29, 2004
CANTOR FITZGERALD & CO.
February 7, 1996 - March 5, 2004
ADVEST, INC.
April 18, 1995 - March 25, 1996
COWEN AND COMPANY
February 18, 1994 - December 30, 1994
BHF SECURITIES CORPORATION
July 25, 1988 - January 5, 1994
GRUNTAL & CO., L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/2/2023)
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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