Richard J. Faillace
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Joseph Faillace SR, who also goes by Richard Joseph Faillace, Richard Joseph Faillance Sr, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1974. Richard had worked at 9 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2000 - April 3, 2018
SAMUEL A. RAMIREZ & COMPANY, INC.
March 8, 1990 - October 31, 2000
WILLIAM E. SIMON & SONS MUNICIPAL SECURITIES, INC.
June 16, 1982 - March 21, 1990
MORGAN STANLEY DW INC.
September 12, 1980 - March 9, 1982
WESTPAC POLLOCK & CO. INC.
June 25, 1979 - August 11, 1980
LEHMAN BROTHERS INC.
January 18, 1978 - June 25, 1979
LOEB PARTNERS
May 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
February 28, 1977 - May 5, 1977
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
March 12, 1974 - March 22, 1977
CLAYTON BROWN & ASSOCIATES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 3/7/1974
Registered Representative ExaminationCurrent 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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