CRD #6963 · FINRA BrokerCheck + SEC IAPD

Samuel a. Ramirez & Company, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Samuel a. Ramirez & Company, Inc. ranks #914 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #96 of 868 on the same disclosure sort used on the state browse page. Samuel a. Ramirez & Company, Inc. carries 8 BrokerCheck disclosures across 14 branch offices - moderate load for a regional firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
14
branch offices
8
disclosures
#914 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 6963 Samuel a. Ramirez & Company, Inc.

Samuel a. Ramirez & Company, Inc. · Grade B · 8 disc · 0.57/office · Regional firm

  • CRD 6963
  • GRADE B
  • DISC 8
  • REG 6
  • ARB 2
  • CIV 0
  • BRANCH 14
  • PER-OFF 0.57
  • RANK #914 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: Huntleigh Securities Corporation (0.57 disc/office)

Huntleigh Securities Co…0.57Natalliance Securities,…0.57Smith, Moore & Co.0.56Samuel a. Ramirez &… (this)0.57
Disclosures per office among regional firm peers (lower is cleaner)

Samuel a. Ramirez & Company, Inc. ranks #914 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.57 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

14 offices

FINRA: Small firm

Total disclosures

8 events

On FINRA BrokerCheck

Regulatory events

6 actions

75% of all disclosures

Disclosures per office

0.57 per office

8 ÷ 14 offices

Samuel a. Ramirez & Company, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 44% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). This entry sits in this band. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 6
Arbitrations 2
Civil Events 0
Total 8

Counts for Samuel a. Ramirez & Company, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 6 Arbitration 2 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
New York, NY
CRD Number
6963

Regulator-heavy mix

Samuel a. Ramirez & Company, Inc. in the heavier-disclosure third

Samuel a. Ramirez & Company, Inc. carries 8 BrokerCheck disclosures across 14 branch offices - a heavier-third raw book among graded firms (#914 of 20,055). Regulator-initiated events are 75% of the book (6 regulatory / 2 arbitration / 0 civil).

75% of Samuel a. Ramirez & Company, Inc.'s 8 disclosures are regulator-initiated (6 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Samuel a. Ramirez & Company, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 0.91× state average

Samuel a. Ramirez & Company, Inc. tracks near the New York disclosure average

Samuel a. Ramirez & Company, Inc. reports 8 BrokerCheck disclosures, about 0.91× the New York average of 8.7 across 868 graded firms.

In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Samuel a. Ramirez & Company, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Samuel a. Ramirez & Company, Inc. ranks #914 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #96 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Samuel a. Ramirez & Company, Inc.?
A grade of B reflects Samuel a. Ramirez & Company, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 8 total disclosures across 14 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Samuel a. Ramirez & Company, Inc. have?
Samuel a. Ramirez & Company, Inc. has 8 total FINRA disclosures, including 6 regulatory events, 2 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Samuel a. Ramirez & Company, Inc.?
Samuel a. Ramirez & Company, Inc. operates 14 branch offices and is classified by FINRA as a small firm, registered in NY (Regional firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Samuel a. Ramirez & Company, Inc.'s disciplinary record?
You can verify Samuel a. Ramirez & Company, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 6963. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Samuel a. Ramirez & Company, Inc.'s 8 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Samuel a. Ramirez & Company, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Samuel a. Ramirez & Company, Inc. carries 8 disclosures across 14 branch offices (about 0.57 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Samuel a. Ramirez & Company, Inc., both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Huntleigh Securities Corporation (MO) - 0.57 disclosures/office, nearest regional firm peer to Samuel a. Ramirez & Company, Inc.'s 0.57
  • Natalliance Securities, LLC (TX) - 0.57 disclosures/office, nearest regional firm peer to Samuel a. Ramirez & Company, Inc.'s 0.57
  • Smith, Moore & Co. (MO) - 0.56 disclosures/office, nearest regional firm peer to Samuel a. Ramirez & Company, Inc.'s 0.57
  • Firms in NY - state roster that includes Samuel a. Ramirez & Company, Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Samuel a. Ramirez & Company, Inc..
  • Reading BrokerCheck Reports - How Samuel a. Ramirez & Company, Inc.'s 0.57 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Samuel a. Ramirez & Company, Inc..
  • Compare firms - put Samuel a. Ramirez & Company, Inc. next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.