Richard J. Gerard

SAMUEL A. RAMIREZ & COMPANY

NEW YORK, NY 10022

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CRD#: 4492326

Professional summary

Richard John Gerard is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in New York, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2002. Richard has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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 Richard John Gerard'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

January 3, 2023 - Present

SAMUEL A. RAMIREZ & COMPANY, INC.

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

CRD#: 6963

NEW YORK, NY

Past

May 19, 2017 - December 21, 2022

LPS CAPITAL LLC

CRD#: 155246

NEW YORK, NY

Past

April 8, 2011 - May 1, 2017

BGC FINANCIAL, L.P.

CRD#: 19801

NEW YORK, NY

Past

July 26, 2010 - April 6, 2011

CHAPDELAINE TULLETT PREBON, LLC

CRD#: 7017

NEW YORK, NY

Past

January 22, 2008 - July 16, 2010

BGC FINANCIAL, L.P.

CRD#: 19801

NEW YORK, NY

Past

May 21, 2007 - January 15, 2008

RAFFERTY CAPITAL MARKETS, LLC

CRD#: 23682

NEW YORK, NY

Past

January 9, 2007 - May 24, 2007

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

NEW YORK, NY

Past

May 8, 2003 - March 19, 2007

CHAPDELAINE CORPORATE SECURITIES & CO

CRD#: 23741

NEW YORK, NY

Past

October 16, 2002 - May 5, 2003

CHAPDELAINE TULLETT PREBON, LLC

CRD#: 7017

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

Connecticut
(1/3/2023)

New York
(1/3/2023)

Exams

State Security Law Exam

Series 63

Date: 12/18/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/15/2002

General Securities Representative 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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Richard J. Gerard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard John Gerard's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPS CAPITAL LLC

BGC FINANCIAL, L.P.

CHAPDELAINE TULLETT PREBON, LLC

BGC FINANCIAL, L.P.

RAFFERTY CAPITAL MARKETS, LLC

TULLETT PREBON FINANCIAL SERVICES LLC

CHAPDELAINE CORPORATE SECURITIES & CO

CHAPDELAINE TULLETT PREBON, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/18/2009

SIE

Date: 10/1/2018

Series 7

Date: 10/15/2002

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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