Mallory R. Harty
Professional summary
Mallory R Harty, who also goes by Mallory Harty, is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in New York, New York.
Mallory is registered as a RR (Registered Representative) and started their career in finance in 2022. Mallory has worked at 2 firms and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mallory R Harty's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 27, 2026 - Present
SAMUEL A. RAMIREZ & COMPANY, INC.
Office #1: 14 East 52nd Street, New York, NY 10022August 15, 2022 - April 6, 2026
HSBC SECURITIES (USA) 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
(5/27/2026)
Exams
Series 7TO
Date: 10/31/2022
General Securities Representative ExaminationSeries 79TO
Date: 8/15/2022
Investment Banking Registered 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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