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Richard Louis Viton

Samuel A. Ramirez & Company, Inc.

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About Richard Louis Viton

Richard Louis Viton is a financial professional with over 30 years of experience in the industry. Richard Louis Viton is currently registered with Samuel A. Ramirez & Company, Inc. where Richard Louis Viton has been employed since September 2008. Richard Louis Viton has also held prior roles at firms such as Credit Suisse Securities (USA) LLC, UBS Securities LLC, Warburg Dillon Read LLC, SBC Warburg Dillon Read Inc., and Dean Witter Reynolds Inc. Richard Louis Viton holds the Series 7, Series 8, Series 24, SIE and Series 79TO licenses.

Firm Information

Richard Viton 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 Viton’s Registration & Firm History

NY

09/02/2008 - Present

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

NY

09/16/2005 - 11/23/2007

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

NY

12/07/1999 - 08/17/2005

UBS SECURITIES LLC (NEW YORK NY)

NY

06/29/1998 - 11/05/1999

WARBURG DILLON READ LLC (NEW YORK NY)

CT

04/16/1997 - 06/29/1998

SBC WARBURG DILLON READ INC. (STAMFORD CT)

NY

01/22/1993 - 04/16/1997

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

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Licenses & Designations

BC

Issued 12/23/2005

Series 24 - General Securities Principal Examination

BC

Issued 05/30/1997

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/20/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Richard Louis Viton.
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