Philip M. Duddy
Professional summary
Philip Matthew Duddy is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in New York, New York.
Philip is registered as a RR (Registered Representative) and started their career in finance in 1993. Philip has worked at 9 firms and has passed the Series 63, Series 82TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Philip Matthew Duddy's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 10, 2020 - Present
SAMUEL A. RAMIREZ & COMPANY, INC.
Office #1: 14 East 52nd Street, New York, NY 10022September 7, 2017 - September 2, 2020
CROSS POINT CAPITAL LLC
May 6, 2017 - June 6, 2017
ICAP SECURITIES USA LLC
March 22, 2010 - June 6, 2017
TP ICAP GLOBAL MARKETS AMERICAS LLC
July 1, 2009 - March 11, 2010
CROSS POINT CAPITAL LLC
September 22, 2008 - June 15, 2009
AURIGA USA, LLC
November 7, 2006 - June 6, 2008
COHEN & COMPANY SECURITIES, LLC
June 20, 2005 - November 3, 2006
ICAP SECURITIES USA LLC
June 20, 2005 - November 3, 2006
TP ICAP GLOBAL MARKETS AMERICAS LLC
September 30, 2002 - June 10, 2005
HILLIARD FARBER SECURITIES CORP.
September 30, 2002 - June 10, 2005
DEALERWEB LLC
October 1, 1993 - October 17, 2002
UBS FINANCIAL SERVICES 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
(11/10/2020)
Exams
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsFINRA
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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