SR
Samuel A. Ramirez, Jr.
RAMIREZ ASSET MANAGEMENT
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 2261054
SR
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 4 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Samuel Alfred Ramirez Jr | Samuel Alfred Ramirez, Jr | Samuel Alfred Ramirez, Jr
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.
OWNER: RAM FIN EQUINE LLC,
OWNER: RAMIREZ PROPERTIES LLC;
MEMBER OF THE US POLO ASSOCIATION FINANCE COMMITTEE- 1 HR PER MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Alfred Ramirez, Jr.'s CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 14, 2012 - Present
RAMIREZ ASSET MANAGEMENT, INC.
Office #1: 14 East 52nd Street, New York, NY 10022RIA
CRD#: 110637
NEW YORK, NY
Current
October 5, 1992 - Present
SAMUEL A. RAMIREZ & COMPANY, INC.
Office #1: 14 East 52nd Street, New York, NY 10022Office #2: 14 East 52nd Street, New York, NY 10022BD
CRD#: 6963
NEW YORK, NY
Past
August 14, 2008 - April 16, 2009
RAMIREZ TRADETREK SECURITIES LLC
BD
CRD#: 105797
NEW YORK, NY
Past
January 17, 2007 - December 8, 2017
SAN JUAN CAPITAL PARTNERS, LLC
RIA
CRD#: 138997
HATO REY, PR
Past
November 12, 2004 - December 31, 2010
RAMIREZ ASSET MANAGEMENT, INC.
RIA
CRD#: 110637
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RA
RAMIREZ ASSET MANAGEMENT, INC.
ALTURA CAPITAL, INC. | RAMIREZ ASSET MANAGEMENT, INC.
CRD#: 110637 / SEC#: 801-69304
RIA
Registered Investment Advisory firm - (6/23/2008 Approved)Florida
Registered Investment Advisory firm - (12/18/2009 Terminated)Massachusetts
Registered Investment Advisory firm - (12/18/2009 Terminated)New York
Registered Investment Advisory firm - (12/21/2012 Terminated)Ohio
Registered Investment Advisory firm - (12/18/2009 Terminated)Puerto Rico
Registered Investment Advisory firm - (12/21/2012 Terminated)Texas
Registered Investment Advisory firm - (11/27/2001 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(10/17/2000)
RR
California(10/22/1992)
RR
Colorado(10/22/1992)
RR
Connecticut(10/22/1992)
RR
Delaware(2/20/2002)
RR
District of Columbia(2/4/1994)
RR
Florida(10/27/1992)
RR
Georgia(6/18/2001)
RR
Idaho(3/14/2002)
RR
Illinois(10/22/1992)
RR
Maryland(10/22/1992)
RR
Massachusetts(10/22/1992)
RR
Michigan(3/11/1997)
RR
Minnesota(3/26/2002)
RR
Missouri(2/23/2012)
RR
Nevada(9/25/2003)
RR
New Hampshire(11/21/2011)
RR
New Jersey(11/6/1992)
RR
New Mexico(5/30/2008)
RR
New York(10/22/1992)
RR
North Carolina(2/27/2012)
RR
Ohio(10/23/1992)
RR
Pennsylvania(10/22/1992)
RR
Puerto Rico(10/2/1997)
IAR
Puerto Rico(2/14/2012)
RR
Rhode Island(2/16/1994)
RR
South Carolina(1/17/2001)
RR
Texas(10/22/1992)
RR
Utah(8/12/2015)
RR
Vermont(8/7/2002)
RR
Virginia(10/23/1992)
RR
Washington(10/18/2011)
RR
Wisconsin(10/24/2000)
RR
Wyoming(5/10/2002)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RA
RAMIREZ ASSET MANAGEMENT, INC.
ALTURA CAPITAL, INC. | RAMIREZ ASSET MANAGEMENT, INC.
CRD#: 110637 / SEC#: 801-69304
RIA
Registered Investment Advisory firm - (6/23/2008 Approved)Florida
Registered Investment Advisory firm - (12/18/2009 Terminated)Massachusetts
Registered Investment Advisory firm - (12/18/2009 Terminated)New York
Registered Investment Advisory firm - (12/21/2012 Terminated)Ohio
Registered Investment Advisory firm - (12/18/2009 Terminated)Puerto Rico
Registered Investment Advisory firm - (12/21/2012 Terminated)Texas
Registered Investment Advisory firm - (11/27/2001 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
14 East 52nd Street, New York, NY 10022
Mailing Address
Phone number
(212) 248-0500
Established
Firm type
Fiscal year end
# of Employees
46
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 713 |
| AUM (Assets Under Management) | $ 12,141,529,833 |
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.
