Raul Amezcua
Professional summary
Raul Amezcua is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in Los Angeles, California.
Raul is registered as a RR (Registered Representative) and started their career in finance in 1992. Raul has worked at 5 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 52TO, SIE, Series 50, Series 7, Series 54, Series 24, Series 27 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Raul Amezcua's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 17, 2021 - Present
SAMUEL A. RAMIREZ & COMPANY, INC.
Office #1: 12130 Millennium Drive Suite 300, Los Angeles, CA 90094Office #2: 95 Third Street 2nd Floor, San Francisco, CA 94103April 21, 2014 - February 5, 2021
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 16, 2003 - June 25, 2014
E.J. DE LA ROSA & CO., INC.
May 18, 1995 - March 18, 2003
CITIGROUP GLOBAL MARKETS INC.
July 23, 1992 - April 5, 1995
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/17/2021)
(2/17/2021)
(2/17/2021)
(12/19/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
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
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