Carlos P. Montoya

SAMUEL A. RAMIREZ & COMPANY

NEW YORK, NY 10022

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CRD#: 2647933

Professional summary

Carlos Peter Montoya, who also goes by Carlos P Montoya, is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in New York, New York.

Carlos is registered as a RR (Registered Representative) and started their career in finance in 1995. Carlos has worked at 2 firms and has passed the Series 63, Series 52TO, Series 50, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carlos P Montoya

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carlos Peter Montoya's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 9, 2022 - Present

SAMUEL A. RAMIREZ & COMPANY, INC.

Office #1: 14 East 52nd Street, New York, NY 10022

CRD#: 6963

NEW YORK, NY

Past

February 8, 2006 - March 30, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

April 8, 2002 - March 30, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

October 16, 1995 - March 1, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alaska
(5/20/2025)

Arizona
(5/20/2025)

California
(5/20/2025)

Colorado
(12/12/2024)

Connecticut
(5/20/2025)

Illinois
(5/20/2025)

Indiana
(5/20/2025)

Iowa
(5/20/2025)

Maine
(5/20/2025)

Massachusetts
(5/20/2025)

Michigan
(5/20/2025)

New Jersey
(5/20/2025)

New York
(5/16/2025)

North Carolina
(5/20/2025)

Ohio
(5/21/2025)

Pennsylvania
(5/20/2025)

Puerto Rico
(12/12/2024)

Rhode Island
(5/20/2025)

South Dakota
(5/20/2025)

Texas
(5/20/2025)

Wisconsin
(5/20/2025)

Exams

State Security Law Exam

Series 63

Date: 5/16/2025

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 11/8/2022

Municipal Securities Representative Examination

General Industry/Product Exam

Series 50

Date: 2/28/2017

Municipal Advisor Representative Qualification Exam

General Industry/Product Exam

Series 7

Date: 10/13/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 5/16/2023

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SAMUEL A. RAMIREZ & COMPANY, INC.

CRD#: 6963 / SEC#: , 8-19014

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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.

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Firm Stability Insights

Carlos P. Montoya

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carlos Peter Montoya's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 5/16/2025

Series 52TO

Date: 11/8/2022

Series 50

Date: 2/28/2017

Series 7

Date: 10/13/1995

Series 53

Date: 5/16/2023

FINRA

Current Firm

SAMUEL A. RAMIREZ & COMPANY, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SAMUEL A. RAMIREZ & COMPANY, INC.

TRUST BUT VERIFY

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