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Michael J Frankel

Samuel A. Ramirez & Company, Inc.

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About Michael J Frankel

Michael Frankel is a financial professional registered with Samuel A. Ramirez & Company, Inc. in New York. Michael has over 30 years of experience in the financial services industry and holds the Series 63, Series 7, and Series 24 licenses.

Firm Information

Michael Frankel 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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Michael Frankel’s Registration & Firm History

NY

02/02/2023 - Present

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

NY

06/12/2017 - 11/28/2022

HILLTOP SECURITIES INC. (NEW YORK NY)

NY

12/22/2014 - 06/23/2017

MAXIM GROUP LLC (NEW YORK NY)

NY

02/02/2012 - 11/06/2014

HAPOALIM SECURITIES USA, INC. (NEW YORK NY)

NY

03/31/2008 - 02/09/2012

OPPENHEIMER & CO. INC. (NEW YORK NY)

NY

03/31/2006 - 03/10/2008

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

NY

03/08/2006 - 04/03/2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

03/23/2004 - 03/08/2006

ADVEST, INC. (NEW YORK NY)

NY

02/19/2004 - 03/29/2004

CANTOR FITZGERALD & CO. (NEW YORK NY)

CT

02/07/1996 - 03/05/2004

ADVEST, INC. (HARTFORD CT)

NY

04/18/1995 - 03/25/1996

SOCIETE GENERALE SECURITIES CORPORATION (NEW YORK NY)

NY

02/18/1994 - 12/30/1994

BHF SECURITIES CORPORATION (NEW YORK NY)

NY

07/25/1988 - 01/05/1994

GRUNTAL & CO. INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/20/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/05/2005

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/18/1988

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Michael J Frankel.
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