Thomas D. Chinery
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 D. Chinery, who also goes by Thomas D Chinery, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2002. Thomas had worked at 7 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2020 - October 26, 2023
SAMUEL A. RAMIREZ & COMPANY, INC.
October 14, 2019 - July 13, 2020
PIPER SANDLER & CO.
May 4, 2018 - August 24, 2018
FINANCE OF AMERICA SECURITIES LLC
June 29, 2015 - March 14, 2018
RBC CAPITAL MARKETS, LLC
November 6, 2009 - June 30, 2015
WELLS FARGO SECURITIES, LLC
April 30, 2007 - November 6, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
May 19, 2003 - March 7, 2006
WELLS FARGO BROKERAGE SERVICES, L.L.C.
July 22, 2002 - December 31, 2002
WELLS FARGO BROKERAGE SERVICES, L.L.C.
July 22, 2002 - September 14, 2011
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
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 99TO
Date: 1/2/2023
Operations Professional 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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