Estefania M. Garcia
Professional summary
Estefania Maria Garcia, who also goes by Estefania Garcia, is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in New York, New York.
Estefania is registered as a RR (Registered Representative) and started their career in finance in 2016. Estefania has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Estefania Maria Garcia's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 7, 2022 - Present
SAMUEL A. RAMIREZ & COMPANY, INC.
Office #1: 14 East 52nd Street, New York, NY 10022September 13, 2018 - August 26, 2022
MIZUHO SECURITIES USA LLC
July 18, 2016 - December 4, 2017
CREDIT AGRICOLE SECURITIES (USA) INC.
March 8, 2016 - April 26, 2016
SMBC NIKKO SECURITIES AMERICA, 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
(12/8/2022)
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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