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KL

Kevin S. Lind

SAMUEL A. RAMIREZ & COMPANY
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 2734353
KL

Professional summary

Kevin Scott Lind is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in New York, New York.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 1998. Kevin has worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Kevin Scott Lind'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 1, 2016 - Present

SAMUEL A. RAMIREZ & COMPANY, INC.

Office #1: 14 East 52nd Street, New York, NY 10022
BD
CRD#: 6963
NEW YORK, NY
Past

August 13, 2015 - November 16, 2016

CG CAPITAL MARKETS, LLC

BD
CRD#: 35513
New York, NY
Past

December 17, 2013 - July 30, 2015

CAPITAL GUARDIAN, LLC

BD
CRD#: 137919
New York, NY
Past

April 9, 2012 - December 10, 2013

FURTHER LANE SECURITIES, L.P.

BD
CRD#: 38162
NEW YORK, NY
Past

February 24, 2012 - April 5, 2012

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 149758
NEW YORK, NY
Past

September 20, 2010 - February 17, 2012

COHEN & COMPANY CAPITAL MARKETS, LLC

BD
CRD#: 144981
NEW YORK, NY
Past

January 7, 2010 - October 1, 2010

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 104002
NEW YORK, NY
Past

August 24, 2004 - January 7, 2010

ALLY SECURITIES LLC

BD
CRD#: 25988
NEW YORK, NY
Past

May 29, 2002 - August 4, 2004

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

March 19, 2001 - June 11, 2002

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

February 16, 2001 - March 28, 2001

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

August 4, 1998 - October 30, 2000

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

April 1, 1998 - August 14, 1998

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
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
(11/1/2016)
RR
California
(11/1/2016)
RR
Connecticut
(11/1/2016)
RR
Delaware
(11/1/2016)
RR
District of Columbia
(11/1/2016)
RR
Florida
(11/1/2016)
RR
Georgia
(11/1/2016)
RR
Illinois
(11/1/2016)
RR
Indiana
(11/1/2016)
RR
Iowa
(11/1/2016)
RR
Kansas
(11/1/2016)
RR
Louisiana
(11/1/2016)
RR
Maine
(11/1/2016)
RR
Maryland
(11/1/2016)
RR
Massachusetts
(11/1/2016)
RR
Michigan
(11/1/2016)
RR
Minnesota
(11/1/2016)
RR
Missouri
(11/1/2016)
RR
Nebraska
(11/1/2016)
RR
New Jersey
(11/1/2016)
RR
New Mexico
(11/1/2016)
RR
New York
(11/1/2016)
RR
North Carolina
(11/1/2016)
RR
Ohio
(11/1/2016)
RR
Oklahoma
(11/1/2016)
RR
Pennsylvania
(11/1/2016)
RR
Puerto Rico
(11/1/2016)
RR
Rhode Island
(11/1/2016)
RR
South Carolina
(11/1/2016)
RR
Texas
(11/1/2016)
RR
Utah
(11/1/2016)
RR
Vermont
(11/1/2016)
RR
Washington
(11/1/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 5/5/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/31/1998
General Securities Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SAR HOLDINGS, INC.HOLDING COMPANY
GOLDMAN, LAWRENCE FMANAGING DIRECTOR1134640
KICK, MICHAEL JSR. VP/ CFO/ FIN OP4480676
KOFFER, JOSEPHCHIEF COMPLIANCE OFFICER6043686
MAZZARO, VINCENT ANTHONYCOO2665339
PERROTTA, THOMASMANAGING DIRECTOR1864851
RAMIREZ, SAMUEL ALFREDPRESIDENT & DIRECTOR/SECRETARY827095
RAMIREZ,, SAMUEL ALFRED JRMANAGING DIRECTOR2261054

Disclosures

Regulatory Event6
Arbitration2

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#: 6963New York, NY 10022

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