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James M Cortese

Samuel A. Ramirez & Company, Inc.

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About James M Cortese

James M. Cortese is a financial professional with over 30 years of experience in the financial services industry. Currently, James is a registered representative with Samuel A. Ramirez & Company, Inc. James has been with Samuel A. Ramirez & Company, Inc. since January 2014. Previously, James held positions at M. R. BEAL & COMPANY, Jackson Securities LLC, Sterne, Agee & Leach, Inc., UBS Securities LLC, UBS Financial Services Inc., EVEREN SECURITIES, INC. and DEAN WITTER REYNOLDS INC.. James holds the Series 7, Series 63 and SIE licenses. James is registered in 13 states: Arizona, Colorado, Connecticut, District of Columbia, Florida, Idaho, Illinois, Louisiana, Maine, Maryland, Missouri, Ohio and Puerto Rico.

Firm Information

James Cortese 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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James Cortese’s Registration & Firm History

NY

01/14/2014 - Present

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

NY

08/19/2013 - 01/03/2014

M. R. BEAL & COMPANY (NEW YORK NY)

NY

05/10/2011 - 08/07/2013

M. R. BEAL & COMPANY (NEW YORK NY)

NY

08/16/2012 - 10/03/2012

JACKSON SECURITIES LLC (NEW YORK NY)

NY

03/13/2009 - 11/30/2010

STERNE, AGEE & LEACH, INC. (NEW YORK NY)

NY

01/16/2006 - 06/25/2008

UBS SECURITIES LLC (NEW YORK NY)

NJ

12/19/1997 - 01/16/2006

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

MO

08/05/1991 - 03/30/1994

EVEREN SECURITIES, INC. (ST. LOUIS MO)

NY

03/19/1986 - 07/23/1991

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

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Licenses & Designations

BC

Issued 05/23/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/15/1986

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James M Cortese.
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