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Theodore Sobel

Samuel A. Ramirez & Company, Inc.

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About Theodore Sobel

Theodore Sobel is a financial professional with over 35 years of experience in the financial services industry. Theodore is currently registered with Samuel A. Ramirez & Company, Inc. and is licensed in several states including California, Florida, Illinois, Massachusetts, Nebraska, New York and Texas. Theodore's professional experience includes working at BANC OF AMERICA SECURITIES LLC, UBS SECURITIES LLC, UBS FINANCIAL SERVICES INC. and KIDDER, PEABODY & CO. INCORPORATED. Theodore holds the following licenses: Series 7, Series 50, Series 53, Series 54, and Series 63.

Firm Information

Theodore Sobel 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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Theodore Sobel’s Registration & Firm History

NY

04/07/2009 - Present

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

NY

07/08/2008 - 04/06/2009

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

NY

01/16/2006 - 07/02/2008

UBS SECURITIES LLC (NEW YORK NY)

NJ

03/06/1995 - 01/16/2006

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

NY

08/06/1990 - 12/20/1994

KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)

NA

04/10/1989 - 04/30/1990

MANUFACTURERS HANOVER SECURITIES CORPORATION

NY

10/19/1983 - 01/11/1989

SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/06/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/02/2019

Series 54 - Municipal Advisor Principal Qualification Examination

BC

Issued 05/30/2008

Series 53 - Municipal Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/11/2017

Series 50 - Municipal Advisor Representative Qualification Exam

BC

Issued 10/15/1983

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Theodore Sobel.
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