Frederic E. Capozzi
Professional summary
Frederic Edward Capozzi, who also goes by Fred E. Capozzi, is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in Atlanta, Georgia.
Frederic is registered as a RR (Registered Representative) and started their career in finance in 1990. Frederic has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Frederic Edward Capozzi's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 3, 2005 - Present
SAMUEL A. RAMIREZ & COMPANY, INC.
Office #1: 1230 Peachtree St North East 19th Floor, Atlanta, GA, 30309Office #2: 14 East 52nd Street, New York, NY 10022Office #3: 14 East 52nd Street, New York, NY 10022September 12, 2008 - April 6, 2009
RAMIREZ TRADETREK SECURITIES LLC
May 31, 2002 - April 15, 2005
BLAYLOCK & COMPANY, INC.
February 26, 2001 - May 10, 2002
COMMERZ MARKETS LLC
June 26, 2000 - February 26, 2001
DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.
June 19, 1998 - July 18, 2000
GLEACHER & COMPANY SECURITIES, INC.
August 21, 1990 - March 6, 1998
DEUTSCHE BANK SECURITIES 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
(10/2/2013)
(5/3/2005)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/8/2001
Limited Representative-Equity Trader ExamFINRA
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
