Rafael A. Gonzalez
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.
Rafael Antonio Gonzalez, who also goes by Rafael A Gonzalez, Rafi Gonzalez, Rafael Antonio Gonzalezmartinez, was a registered financial professional .
Rafael is a previously registered financial professional and started their career in finance in 1980. Rafael had worked at 7 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2002 - April 11, 2005
SAMUEL A. RAMIREZ & COMPANY, INC.
July 7, 2000 - January 7, 2002
DORAL SECURITIES, INC.
June 11, 1999 - July 11, 2000
PRUDENTIAL EQUITY GROUP, LLC
February 7, 1991 - June 1, 1999
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
July 14, 1988 - June 1, 1999
UBS FINANCIAL SERVICES INC.
February 15, 1988 - July 22, 1988
LEHMAN BROTHERS INC.
February 26, 1987 - February 15, 1988
E. F. HUTTON & COMPANY INC
July 22, 1980 - June 1, 1999
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
Exams
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
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.
