Adrian C. Aery
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.
Adrian Cornell Aery III, who also goes by Aery (iii) Cornell Adrian Cornell III, (iii) Cornell Aery III, Adrian Cornell Aery, was a registered financial professional .
Adrian is a previously registered financial professional and started their career in finance in 1980. Adrian had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2018 - August 4, 2020
SAMUEL A. RAMIREZ & COMPANY, INC.
March 27, 2009 - February 26, 2018
JEFFERIES LLC
September 14, 2007 - March 27, 2009
DEPFA FIRST ALBANY SECURITIES, LLC
February 7, 2001 - September 18, 2007
GLEACHER & COMPANY SECURITIES, INC.
April 8, 1994 - January 9, 2001
WILLIAM E. SIMON & SONS MUNICIPAL SECURITIES, INC.
February 16, 1990 - April 11, 1994
PERSHING LLC
June 10, 1983 - February 6, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
December 28, 1982 - June 14, 1983
EHRLICH-BOBER & CO., INC.
September 10, 1980 - October 20, 1982
CLAYTON BROWN & ASSOCIATES, 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.
