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Richard John Gerard

Samuel A. Ramirez & Company, Inc.

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About Richard John Gerard

Richard Gerard has been active in the financial industry since December 2002. Currently, Richard Gerard is a Registered Representative with Samuel A. Ramirez & Company, Inc. Richard Gerard previously held positions at LPS CAPITAL LLC, BGC FINANCIAL, L.P., CHAPDELAINE & CO., RAFFERTY CAPITAL MARKETS, LLC, TULLETT LIBERTY SECURITIES LLC and CHAPDELAINE CORPORATE SECURITIES & CO. Richard Gerard is licensed to conduct securities business in Connecticut and New York. Richard Gerard holds a Series 7, Series 63 and SIE license.

Firm Information

Richard Gerard 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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Richard Gerard’s Registration & Firm History

NY

01/03/2023 - Present

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

NY

05/19/2017 - 12/21/2022

LPS CAPITAL LLC (NEW YORK NY)

NY

04/08/2011 - 05/01/2017

BGC FINANCIAL, L.P. (NEW YORK NY)

NY

07/26/2010 - 04/06/2011

CHAPDELAINE & CO. (NEW YORK NY)

NY

01/22/2008 - 07/16/2010

BGC FINANCIAL, L.P. (NEW YORK NY)

NY

05/21/2007 - 01/15/2008

RAFFERTY CAPITAL MARKETS, LLC (NEW YORK NY)

NY

01/09/2007 - 05/24/2007

TULLETT LIBERTY SECURITIES LLC (NEW YORK NY)

NY

05/08/2003 - 03/19/2007

CHAPDELAINE CORPORATE SECURITIES & CO (NEW YORK NY)

NY

10/16/2002 - 05/05/2003

CHAPDELAINE & CO. (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/18/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/15/2002

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Richard John Gerard.
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