Peter L. Block

SAMUEL A. RAMIREZ & COMPANY

NEW YORK, NY 10022

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CRD#: 5534037

Professional summary

Peter Lehman Block, who also goes by Peter Block, is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in New York, New York.

Peter is registered as a RR (Registered Representative) and started their career in finance in 2008. Peter has worked at 3 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Peter Block

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 Peter Lehman Block'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

September 10, 2014 - Present

SAMUEL A. RAMIREZ & COMPANY, INC.

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

CRD#: 6963

NEW YORK, NY

Past

December 14, 2009 - December 31, 2010

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

NEW YORK, NY

Past

December 3, 2009 - September 22, 2014

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

August 15, 2008 - March 3, 2009

DEPFA FIRST ALBANY SECURITIES, LLC

CRD#: 144232

CHICAGO, IL

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

Arizona
(7/9/2024)

Massachusetts
(7/9/2024)

New York
(9/10/2014)

Wisconsin
(7/9/2024)

Exams

State Security Law Exam

Series 63

Date: 10/1/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/14/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 1/14/2015

Municipal Securities Principal 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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Firm Stability Insights

Peter L. Block

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Peter Lehman Block's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

DEPFA FIRST ALBANY SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/1/2008

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/14/2008

Series 53

Date: 1/14/2015

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.

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