Roger M. Ramsay

SAR SERVICES

Rochester, NY

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CRD#: 854712

Professional summary

Roger Main Ramsay is a registered financial advisor currently at SAR SERVICES, INC. located in Rochester, New York.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1978. Roger has worked at 7 firms and has passed the Series 65, Series 63, Series 1 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Roger Main Ramsay's CRS (Customer Relationship Summary).

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

Current

August 4, 2021 - Present

SAR SERVICES, INC.

RIA

CRD#: 113579

Rochester, NY

Past

March 2, 1999 - December 31, 2009

CADARET, GRANT & CO., INC.

CRD#: 10641

ROCHESTER, NY

Past

May 30, 1996 - September 10, 1998

PITTSFORD CAPITAL MARKETS, INC

CRD#: 36406

PITTSFORD, NY

Past

October 27, 1992 - June 12, 1996

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

August 29, 1980 - November 20, 1990

G. R. PHELPS & CO., INC.

CRD#: 173

Past

July 18, 1978 - November 18, 1981

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

CRD#: 2873

Past

July 18, 1978 - May 20, 1989

MONY SECURITIES CORPORATION

CRD#: 4386

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(8/4/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/31/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/18/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 7/11/1978

Registered Representative Examination

Principal/Supervisory Exam

Series 26

Date: 2/17/2000

Investment Company Products/Variable Contracts Principal Examination

Current Firm

SAR SERVICES, INC.

CRD#: 113579 / SEC#: 801-60858

RIA

Registered Investment Advisory firm - (6/25/2012 Terminated)

New York

Registered Investment Advisory firm - (7/16/2020 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Rochester, NY

Mailing Address

Phone number

(585) 738-0477

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	42
AUM (Assets Under Management)	$ 5,543,423

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.

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Firm Stability Insights

Roger M. Ramsay

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Main Ramsay's CRS (Customer Relationship Summary).

Certified licenses

Experience

CADARET, GRANT & CO., INC.

PITTSFORD CAPITAL MARKETS, INC

PRUCO SECURITIES, LLC.

G. R. PHELPS & CO., INC.

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

MONY SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 1/31/2012

Series 63

Date: 12/18/1992

Series 1

Date: 7/11/1978

Series 26

Date: 2/17/2000

Current Firm

SAR SERVICES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SAR SERVICES, INC.

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