Joseph A. Smith

SAMUEL A. RAMIREZ & COMPANY

Albany, NY 12204

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CRD#: 1964714

Professional summary

Joseph Aloysius Smith is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in Albany, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1989. Joseph has worked at 6 firms and has passed the Series 63, 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 Joseph Aloysius Smith'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

March 13, 2019 - Present

SAMUEL A. RAMIREZ & COMPANY, INC.

Office #1: 350 Northern Blvd, Suite 104, Albany, NY 12204

CRD#: 6963

Albany, NY

Past

February 26, 2010 - March 14, 2019

C. L. KING & ASSOCIATES, INC.

CRD#: 6183

ALBANY, NY

Past

April 4, 2007 - March 3, 2010

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

ALBANY, NY

Past

September 11, 2006 - April 3, 2007

CANTOR FITZGERALD & CO.

CRD#: 134

ALBANY, NY

Past

July 11, 2005 - July 27, 2006

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

ALBANY, NY

Past

July 18, 1989 - July 14, 2005

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

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

Connecticut
(3/13/2019)

New York
(3/13/2019)

Exams

State Security Law Exam

Series 63

Date: 9/9/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/15/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/25/2004

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

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Joseph A. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Aloysius Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

C. L. KING & ASSOCIATES, INC.

MORGAN KEEGAN & COMPANY, LLC

CANTOR FITZGERALD & CO.

JANNEY MONTGOMERY SCOTT LLC

GLEACHER & COMPANY SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/9/1989

SIE

Date: 10/1/2018

Series 7

Date: 7/15/1989

Series 24

Date: 2/25/2004

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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