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Sarah Smith

Samuel A. Ramirez & Company, Inc.

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About Sarah Smith

Sarah Smith is a registered representative with Samuel A. Ramirez & Company, Inc. Sarah holds Series 63, Series 52TO, and SIE licenses. Sarah is registered with the state of New York.

Firm Information

Sarah Smith 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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Sarah Smith’s Registration & Firm History

NY

05/01/2023 - Present

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

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Licenses & Designations

BC

Issued 05/20/2023

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/01/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/13/2023

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Sarah Smith.
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