Samuel Alfred Ramirez, Jr.
Professional Summary
Samuel Alfred Ramirez, Jr., who also goes by Samuel Alfred Ramirez Jr, Samuel Alfred Ramirez, Jr, Samuel Alfred Ramirez, Jr, is a registered financial advisor currently at RAMIREZ ASSET MANAGEMENT, INC. located in New York, New York and SAMUEL A. RAMIREZ & COMPANY, INC. located in New York, New York. Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Samuel has worked at...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Samuel Alfred Ramirez Jr, Samuel Alfred Ramirez, Jr, Samuel Alfred Ramirez, Jr
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
ALTURA CAPITAL, INC. | RAMIREZ ASSET MANAGEMENT, INC.
Contact Information
Main Address
14 East 52nd Street, New York, NY 10022Phone Number
(212) 248-0500# of Employees
48SEC notice filing (27 States and Territories)
Registered to provide investment advisory services in 27 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
768AUM (Assets Under Management)
$12,269,846,700Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
ALTURA CAPITAL, INC. | RAMIREZ ASSET MANAGEMENT, INC.
State Registrations and Notice Filings
(10/17/2000)
(10/22/1992)
(10/22/1992)
(10/22/1992)
(2/20/2002)
(2/4/1994)
(10/27/1992)
(6/18/2001)
(3/14/2002)
(10/22/1992)
(10/22/1992)
(10/22/1992)
(3/11/1997)
(3/26/2002)
(2/23/2012)
(9/25/2003)
(11/21/2011)
(11/6/1992)
(5/30/2008)
(10/22/1992)
(2/27/2012)
(10/23/1992)
(10/22/1992)
(10/2/1997)
(2/14/2012)
(2/16/1994)
(1/17/2001)
(10/22/1992)
(8/12/2015)
(8/7/2002)
(10/23/1992)
(10/18/2011)
(10/24/2000)
(5/10/2002)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Samuel Alfred Ramirez, Jr.'s CRS (Customer Relationship Summary).
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