Lorraine F. Palacios-germain
Professional summary
Lorraine Florence Palacios-germain, who also goes by Lorraine Florence Palacios, Lorraine Palacios, is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in Chicago, Illinois.
Lorraine is registered as a RR (Registered Representative) and started their career in finance in 2004. Lorraine has worked at 4 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lorraine Florence Palacios-germain's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 26, 2011 - Present
SAMUEL A. RAMIREZ & COMPANY, INC.
Office #1: 425 S Financial Place Suite 3900, Chicago, IL 60605Office #2: 1250 S Capital Of Texas Highway Building 3, Suite 400, Austin, TX 78746Office #3: 700 Milam Street Suite 1300, Houston, TX 77002Office #4: 700 N. St. Mary's Street Suite 1400, San Antonio, TX 78205June 26, 2008 - December 22, 2010
RBC CAPITAL MARKETS, LLC
January 16, 2006 - June 18, 2008
UBS SECURITIES LLC
October 13, 2004 - January 16, 2006
UBS FINANCIAL SERVICES 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
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(1/17/2023)
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(3/28/2016)
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(1/17/2023)
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(1/26/2011)
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Exams
Series 52TO
Date: 1/8/2025
Municipal Securities Representative ExaminationFINRA
Current 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 |
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