0000081909-14-000013.txt : 20141007 0000081909-14-000013.hdr.sgml : 20141007 20141007123046 ACCESSION NUMBER: 0000081909-14-000013 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140829 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SAMUEL A. RAMIREZ & COMPANY, INC. CENTRAL INDEX KEY: 0000081909 IRS NUMBER: 132695511 STATE OF INCORPORATION: NY FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: MA-I SEC ACT: 1934 Act SEC FILE NUMBER: 868-03332 FILM NUMBER: 141144910 BUSINESS ADDRESS: STREET 1: 61 BROADWAY STREET 2: SUITE 2924 CITY: NEW YORK STATE: NY ZIP: 10006 BUSINESS PHONE: 212-248-0510 MAIL ADDRESS: STREET 1: 61 BROADWAY STE 2924 CITY: NEW YORK STATE: NY ZIP: 10006 FORMER COMPANY: FORMER CONFORMED NAME: RAMIREZ SAMUEL A & CO INC /BD DATE OF NAME CHANGE: 20020215 FORMER COMPANY: FORMER CONFORMED NAME: RAMIREZ & CO INC /BD DATE OF NAME CHANGE: 20000403 FORMER COMPANY: FORMER CONFORMED NAME: SAMUEL A RAMIREZ & CO INC /BD DATE OF NAME CHANGE: 19980929 MA-I 1 primary_doc.xml MA-I 0000081909 XXXXXXXX Joseph Koffer 212-378-7165 joseph.koffer@ramirezco.com joseph.koffer@ramirezco.com N THEODORE NMN SOBEL 001188349 N 1 0000081909 SAMUEL A. RAMIREZ & COMPANY, INC. 05-27-2010 N 08-15-2014 0000081909 LOCATED 05-27-2014 61 BROADWAY SUITE 2924 NEW YORK NY 10006 04-2009 SAMUEL A. RAMIREZ & CO, INC. NEW YORK NY 10006 Y Y MANAGING DIRECTOR- PUBLIC FINANCE 07-2008 03-2009 BANK OF AMERICA SECURITIES NEW YORK NY 10128 Y Y MANAGING DIRECTOR 01-2006 06-2008 UBS SECURITIES, LLC STANFORD CT 06901 Y Y MANAGING DIRECTOR- PUBLIC FINANCE 12-1994 01-2006 UBS FINANCIAL SERVICES, INC. NEW YORK NY 10019 Y Y MANAGING DIRECTOR- PUBLIC FINANCE N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N 08-28-2014 JOSEPH KOFFER CHIEF COMPLIANCE OFFICER