Thomas E. Meade
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.
Thomas Edgar Meade was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1972. Thomas had worked at 10 firms and has passed the SIE, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 1996 - May 8, 2019
SAMUEL A. RAMIREZ & COMPANY, INC.
February 11, 1992 - May 30, 1996
SBC WARBURG DILLON READ INC.
March 22, 1990 - February 12, 1992
CIBC WORLD MARKETS CORP.
June 16, 1982 - March 16, 1990
MORGAN STANLEY DW INC.
July 29, 1980 - March 9, 1982
WESTPAC POLLOCK & CO. INC.
June 25, 1979 - August 11, 1980
LEHMAN BROTHERS INC.
January 18, 1978 - June 25, 1979
LOEB PARTNERS
July 5, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
September 18, 1973 - July 20, 1977
CLAYTON BROWN & ASSOCIATES, INC.
October 11, 1972 - August 27, 1973
F S SMITHERS & CO INC
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 000
Date: 10/5/1972
General Securities Principal ExaminationSeries 1
Date: 10/5/1972
Registered Representative ExaminationCurrent 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
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