Niso Abuaf

SAMUEL A. RAMIREZ & COMPANY

NEW YORK, NY 10022

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CRD#: 1942148

Professional summary

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

Niso is registered as a RR (Registered Representative) and started their career in finance in 1989. Niso has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 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 Niso Abuaf'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

August 3, 2009 - Present

SAMUEL A. RAMIREZ & COMPANY, INC.

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

CRD#: 6963

NEW YORK, NY

Past

November 3, 2000 - September 12, 2002

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

July 20, 2000 - March 28, 2008

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

November 28, 1997 - July 20, 2000

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 15, 1993 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

April 18, 1989 - February 14, 1992

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

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

New York
(8/3/2009)

Exams

State Security Law Exam

Series 63

Date: 6/6/1989

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: 4/15/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/9/2000

General Securities Principal 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

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Niso Abuaf

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Niso Abuaf's CRS (Customer Relationship Summary).

Certified licenses

Experience

PERSHING LLC

CREDIT SUISSE SECURITIES (USA) LLC

CITIGROUP GLOBAL MARKETS INC.

SALOMON BROTHERS INC.

SALOMON BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/6/1989

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/15/1989

Series 24

Date: 5/9/2000

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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