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TL

Tiffany C. Lee

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CRD#: 6790557
TL

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Tiffany Chan - Lee Lee was a registered financial professional .

Tiffany is a previously registered financial professional and started their career in finance in 2018. Tiffany had worked at 2 firms and has passed the Series 63, Series 50, SIE and Series 52 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 29, 2021 - July 12, 2022

SAMUEL A. RAMIREZ & COMPANY, INC.

BD
CRD#: 6963
LOS ANGELES, CA
Past

February 23, 2018 - March 25, 2021

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
LOS ANGELES, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/28/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 50
Date: 4/26/2019
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 52
Date: 2/23/2018
Municipal Securities Representative Examination

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#: 6963

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