James F. Haddon
Professional summary
James Frances Haddon, who also goes by James Francis Haddon, is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1981. James has worked at 5 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Frances Haddon's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 4, 2015 - Present
SAMUEL A. RAMIREZ & COMPANY, INC.
Office #1: 14 East 52nd Street, New York, NY 10022June 9, 2010 - January 20, 2015
PFM FUND DISTRIBUTORS, INC.
June 14, 1994 - October 22, 2009
CITIGROUP GLOBAL MARKETS INC.
June 1, 1984 - April 5, 1995
UBS FINANCIAL SERVICES INC.
January 19, 1981 - June 1, 1984
BLYTH EASTMAN PAINE WEBBER INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/4/2015)
(2/4/2015)
(2/4/2015)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
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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