Joseph J. Pagano
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.
Joseph John Pagano was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2000. Joseph had worked at 9 firms and has passed the Series 63, SIE, Series 7 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
February 3, 2020 - September 3, 2020
SAMUEL A. RAMIREZ & COMPANY, INC.
June 24, 2015 - November 13, 2019
MUFG SECURITIES AMERICAS INC.
January 6, 2015 - June 16, 2015
B. RILEY SECURITIES, INC.
October 9, 2013 - November 7, 2014
TRUIST SECURITIES, INC.
March 29, 2011 - October 1, 2013
GLOBAL HUNTER SECURITIES, LLC
March 29, 2004 - March 30, 2011
CRT CAPITAL GROUP LLC
September 5, 2003 - March 24, 2004
KNIGHT LIBERTAS LLC
November 7, 2002 - February 19, 2004
ASHTON THOMAS SECURITIES, LLC
July 13, 2000 - November 12, 2002
RBC CAPITAL MARKETS CORPORATION
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
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.
