RR
Robin E. Redford
SAMUEL A. RAMIREZ & COMPANY
AUSTIN, TX 78746
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CRD#: 4472012
RR
Professional summary
Robin E. Redford is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in Austin, Texas.
Robin is registered as a RR (Registered Representative) and started their career in finance in 2002. Robin has worked at 4 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 7 and Series 53 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Robin E. Redford'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
February 23, 2011 - Present
SAMUEL A. RAMIREZ & COMPANY, INC.
Office #1: 1250 S Capital Of Texas Highway Building 3, Suite 400, Austin, TX 78746Office #2: 700 N. St. Mary's Street Suite 1400, San Antonio, TX 78205BD
CRD#: 6963
AUSTIN, TX
Past
October 1, 2008 - February 24, 2011
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
NEW YORK, NY
Past
January 16, 2006 - July 16, 2008
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
August 14, 2002 - January 16, 2006
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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
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Alaska(12/12/2024)
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Arizona(2/23/2011)
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California(12/12/2024)
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Colorado(12/12/2024)
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Connecticut(12/12/2024)
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Illinois(12/12/2024)
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Indiana(12/12/2024)
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Iowa(12/12/2024)
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Maine(12/12/2024)
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Massachusetts(12/12/2024)
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Michigan(12/12/2024)
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New Jersey(12/12/2024)
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New Mexico(2/23/2011)
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New York(3/28/2016)
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North Carolina(2/12/2014)
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Ohio(12/12/2024)
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Oregon(12/12/2024)
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Pennsylvania(12/12/2024)
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Puerto Rico(12/12/2024)
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Rhode Island(12/12/2024)
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South Dakota(1/27/2014)
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Texas(2/23/2011)
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Wisconsin(12/12/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
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Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
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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.
