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CG

Chapman A. Grumbles

SAMUEL A. RAMIREZ & COMPANY
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 4638498
CG

Professional summary

Chapman A Grumbles, who also goes by Chapman Adam Grumbles, is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in New York, New York.

Chapman is registered as a RR (Registered Representative) and started their career in finance in 2003. Chapman has worked at 4 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chapman Adam Grumbles

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 Chapman A Grumbles'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

October 12, 2022 - Present

SAMUEL A. RAMIREZ & COMPANY, INC.

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

May 6, 2020 - November 16, 2022

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

September 17, 2015 - May 7, 2020

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

October 1, 2008 - May 1, 2015

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

July 10, 2008 - October 1, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

May 7, 2003 - June 25, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
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
(2/25/2025)
RR
California
(2/25/2025)
RR
Colorado
(2/25/2025)
RR
Connecticut
(2/25/2025)
RR
District of Columbia
(2/25/2025)
RR
Florida
(2/25/2025)
RR
Georgia
(2/25/2025)
RR
Illinois
(2/25/2025)
RR
Indiana
(2/25/2025)
RR
Louisiana
(2/25/2025)
RR
Maine
(2/25/2025)
RR
Maryland
(2/25/2025)
RR
Massachusetts
(2/25/2025)
RR
Michigan
(2/25/2025)
RR
Minnesota
(2/25/2025)
RR
Missouri
(2/25/2025)
RR
Nebraska
(2/25/2025)
RR
New Hampshire
(2/25/2025)
RR
New Jersey
(2/25/2025)
RR
New York
(10/12/2022)
RR
North Carolina
(2/25/2025)
RR
Ohio
(2/26/2025)
RR
Oklahoma
(2/25/2025)
RR
Oregon
(2/25/2025)
RR
Pennsylvania
(2/25/2025)
RR
Puerto Rico
(2/25/2025)
RR
Tennessee
(2/25/2025)
RR
Texas
(2/25/2025)
RR
Virginia
(2/25/2025)
RR
Washington
(2/25/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 4/18/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/5/2003
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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