GN
Guy K. Nagahama
SAMUEL A. RAMIREZ & COMPANY
Boston, MA 02114
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CRD#: 2342960
GN
Professional summary
Guy Koji Nagahama, who also goes by Nagahama Koji Guy Koji, is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in Boston, Massachusetts.
Guy is registered as a RR (Registered Representative) and started their career in finance in 1993. Guy has worked at 5 firms and has passed the Series 63, Series 79TO, Series 52TO, SIE, Series 50, Series 7, Series 54, Series 30 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nagahama Koji Guy Koji
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Guy Koji Nagahama'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
May 15, 2018 - Present
SAMUEL A. RAMIREZ & COMPANY, INC.
Office #1: 100 Cambridge St, Suite 1400, Boston, MA 02114BD
CRD#: 6963
Boston, MA
Past
March 27, 2009 - May 10, 2018
JEFFERIES LLC
BD
CRD#: 2347
BOSTON, MA
Past
September 14, 2007 - March 27, 2009
DEPFA FIRST ALBANY SECURITIES, LLC
BD
CRD#: 144232
BOSTON, MA
Past
July 6, 1995 - September 18, 2007
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
BOSTON, MA
Past
November 8, 1993 - June 8, 1995
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(5/15/2018)
RR
California(5/15/2018)
RR
Colorado(5/15/2018)
RR
Connecticut(5/15/2018)
RR
District of Columbia(5/15/2018)
RR
Florida(5/15/2018)
RR
Georgia(5/15/2018)
RR
Hawaii(5/15/2018)
RR
Illinois(5/15/2018)
RR
Indiana(5/15/2018)
RR
Iowa(5/15/2018)
RR
Kansas(5/15/2018)
RR
Kentucky(5/15/2018)
RR
Maine(5/15/2018)
RR
Maryland(5/15/2018)
RR
Massachusetts(5/15/2018)
RR
Michigan(5/15/2018)
RR
Minnesota(5/15/2018)
RR
Missouri(5/15/2018)
RR
Nebraska(12/5/2024)
RR
Nevada(5/15/2018)
RR
New Hampshire(5/15/2018)
RR
New Jersey(5/15/2018)
RR
New Mexico(12/5/2024)
RR
New York(5/15/2018)
RR
North Carolina(5/15/2018)
RR
Ohio(5/15/2018)
RR
Oregon(5/22/2018)
RR
Pennsylvania(5/15/2018)
RR
Rhode Island(5/15/2018)
RR
Texas(5/15/2018)
RR
Utah(5/15/2018)
RR
Vermont(5/15/2018)
RR
Virginia(5/15/2018)
RR
Wisconsin(5/15/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SAMUEL A. RAMIREZ & COMPANY, INC.
RAMIREZ | SAMUEL A. RAMIREZ & COMPANY, INC. | SAMUEL A. RAMIREZ & CO., INC. | SAMUEL A RAMIREZ & CO., INC. | RAMIREZ & CO., INC. | RAMIREZ & CO., INC
CRD#: 6963 / SEC#: , 8-19014
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
14 East 52nd Street, New York, NY 10022
Mailing Address
14 East 52nd Street, New York, NY 10022
Phone number
(212) 248-0500
Established
New York since 12/31/1971
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
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.
Company Information
SAMUEL A. RAMIREZ & COMPANY, INC.
CRD#: 6963Boston, MA 02114TRUST BUT VERIFY
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