Samuel G. Ramsey
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.
Samuel Gene Ramsey was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1991. Samuel had worked at 6 firms and has passed the Series 63, Series 55, Series 7 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2006 - April 17, 2012
CREDIT AGRICOLE SECURITIES (USA) INC.
May 22, 2002 - June 13, 2005
KOREA INVESTMENT & SECURITIES AMERICA, INC.
January 27, 1999 - June 4, 2002
NOMURA SECURITIES INTERNATIONAL, INC.
May 26, 1995 - February 9, 1998
SHINHAN SECURITIES AMERICA, INC.
May 3, 1993 - April 19, 1995
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
January 28, 1992 - February 17, 1993
ROBERT FLEMING INC.
May 15, 1991 - March 6, 1992
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, 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 55
Date: 1/25/1999
Limited Representative-Equity Trader ExamCurrent Firm
CREDIT AGRICOLE SECURITIES (USA) INC.
CRD#: 190 / SEC#: , 8-13753
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREDIT AGRICOLE GLOBAL PARTNERS INC. ("CAGPI") | SHAREHOLDER | |
| ARNAL, CELINE | DIRECTOR | 7247072 |
| GEROLD, MARIA TERESA | CFO | 5967881 |
| HETIER, FRANCOIS-EDOUARD MARIE MARC | DIRECTOR | 7817148 |
| KURZ, WILLIAM FRANK | MEMBER OF THE BOARD OF DIRECTORS AND COO | 7602164 |
| PUBLIE, STEPHANE | INTERIM CEO AND MEMBER OF THE BOARD OF DIRECTORS | 5978052 |
| YOUN, EDWARD KYUNG-HO | CHIEF COMPLIANCE OFFICER | 6723958 |
| ZAFAR, KASHIF | MANAGING DIRECTOR | 2666642 |
Disclosures
| Regulatory Event | 18 |
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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