Peter J. Faillace
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.
Peter Jos Faillace JR, who also goes by Jay Faillace Jr, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1992. Peter had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2015 - August 5, 2016
SAMUEL A. RAMIREZ & COMPANY, INC.
February 26, 2009 - February 19, 2015
CITATION FINANCIAL GROUP, L.P.
January 1, 2009 - March 3, 2009
NORTHEAST CAPITAL & ADVISORY, INC.
March 13, 2003 - July 2, 2008
FERRIS, BAKER WATTS, LLC
January 2, 2002 - March 20, 2003
RBC CAPITAL MARKETS, LLC
August 3, 1998 - January 15, 2002
TUCKER ANTHONY INCORPORATED
November 11, 1997 - August 18, 1998
AUSTIN ATLANTIC CAPITAL INC.
October 8, 1992 - December 3, 1997
SHAY GOVERNMENT SECURITIES CO.
October 8, 1992 - December 8, 1997
SHAY FINANCIAL SERVICES CO.
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 8
Date: 11/2/1998
General Securities Sales Supervisor Examination (Options Module & General Module)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
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.
