Fernando J. Guerra
Professional summary
Fernando Javier Guerra PH.D. is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in Los Angeles, California.
Fernando is registered as a RR (Registered Representative) and started their career in finance in 2005. Fernando has worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Fernando Javier Guerra PH.D.'s CRS (Customer Relationship Summary).
Certified licenses
Experience
February 27, 2014 - Present
SAMUEL A. RAMIREZ & COMPANY, INC.
Office #1: 12130 Millennium Drive Suite 300, Los Angeles, CA 90094November 30, 2005 - February 12, 2014
E.J. DE LA ROSA & CO., 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
(2/27/2014)
(2/27/2014)
(2/27/2014)
Exams
FINRA
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 |
Red Flags
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