TP
Thomas Perrotta
SAMUEL A. RAMIREZ & COMPANY
NEW YORK, NY 10022
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CRD#: 1864851
TP
Professional summary
Thomas Perrotta is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1988. Thomas has worked at 1 firm and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Thomas Perrotta's 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®
NoneExperience
Current
October 19, 1988 - Present
SAMUEL A. RAMIREZ & COMPANY, INC.
Office #1: 14 East 52nd Street, New York, NY 10022Office #2: 14 East 52nd Street, New York, NY 10022BD
CRD#: 6963
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
California(8/15/2001)
RR
Colorado(8/15/2001)
RR
Connecticut(8/15/2001)
RR
Florida(4/16/2001)
RR
Illinois(8/15/2001)
RR
Maryland(8/15/2001)
RR
Massachusetts(8/15/2001)
RR
New Hampshire(8/15/2001)
RR
New Jersey(2/8/1989)
RR
New York(10/28/1988)
RR
Ohio(8/15/2001)
RR
Pennsylvania(8/15/2001)
RR
Texas(8/15/2001)
RR
Virginia(8/15/2001)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SAMUEL A. RAMIREZ & COMPANY, INC.
RAMIREZ | SAMUEL A. RAMIREZ & COMPANY, INC. | SAMUEL A. RAMIREZ & CO., INC. | SAMUEL A RAMIREZ & CO., INC. | RAMIREZ & CO., INC. | RAMIREZ & CO., INC
CRD#: 6963 / SEC#: , 8-19014
BD
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)
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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Check for any disclosures as part of your thorough research when choosing an advisor.
