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Frederic Edward Capozzi

Samuel A. Ramirez & Company, Inc.

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About Frederic Edward Capozzi

Frederic Edward Capozzi is a registered representative of Samuel A. Ramirez & Company, Inc. Frederic has been in the securities industry since January 8, 1991. Frederic has been registered with Samuel A. Ramirez & Company, Inc. since May 3, 2005. Frederic has held previous registrations with RAMIREZ TRADETREK SECURITIES LLC, BLAYLOCK & COMPANY, INC., DRESDNER KLEINWORT WASSERSTEIN SECURITIES LLC, WASSERSTEIN PERELLA SECURITIES, INC., FIRST ALBANY CORPORATION and DEUTSCHE MORGAN GRENFELL INC. Frederic is licensed in Arkansas and New York. Frederic holds the following securities licenses: Series 7, Series 24, Series 55, Series 57TO and Series 63. Frederic has also passed the SIE exam.

Firm Information

Frederic Capozzi is currently registered with Samuel A. Ramirez & Company, Inc.. Samuel A. Ramirez & Company, Inc. is a corporation formed in 1971. It is registered in 51 states and the District of Columbia, as well as with the Securities and Exchange Commission (SEC). The firm has been involved in 6 regulatory events and 2 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

118

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Frederic Capozzi’s Registration & Firm History

NY

05/03/2005 - Present

Samuel A. Ramirez & Company, Inc. (NEW YORK NY)

NY

09/12/2008 - 04/06/2009

RAMIREZ TRADETREK SECURITIES LLC (NEW YORK NY)

NY

05/31/2002 - 04/15/2005

BLAYLOCK & COMPANY, INC. (NEW YORK NY)

NY

02/26/2001 - 05/10/2002

DRESDNER KLEINWORT WASSERSTEIN SECURITIES LLC (NEW YORK NY)

NY

06/26/2000 - 02/26/2001

WASSERSTEIN PERELLA SECURITIES, INC. (NEW YORK NY)

NY

06/19/1998 - 07/18/2000

FIRST ALBANY CORPORATION (NEW YORK NY)

NY

08/21/1990 - 03/06/1998

DEUTSCHE MORGAN GRENFELL INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/17/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/20/2000

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/08/2001

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 08/20/1990

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Frederic Edward Capozzi.
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