# EDGAR Filing Document

**Accession Number:** 0000081909
**File Stem:** 0000081909-25-000007
**Filing Date:** 2025-10
**Character Count:** 13060
**Document Hash:** 142b7f80f3dc393dcbdc2f08e46f4ea7
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000081909-25-000007.hdr.sgml**: 20251124

**ACCESSION NUMBER**: 0000081909-25-000007

**CONFORMED SUBMISSION TYPE**: MA-A

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20250930

**FILED AS OF DATE**: 20251030

**DATE AS OF CHANGE**: 20251124

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** SAMUEL A. RAMIREZ & COMPANY, INC.
- **CENTRAL INDEX KEY:** 0000081909

**ORGANIZATION NAME:**
- **EIN:** 132695511
- **STATE OF INCORPORATION:** NY
- **FISCAL YEAR END:** 0930

**FILING VALUES:**
- **FORM TYPE:** MA-A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 867-00725
- **FILM NUMBER:** 251509535

**BUSINESS ADDRESS:**
- **STREET 1:** 14 EAST 52ND STREET
- **STREET 2:** SUITE 2924
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10022
- **BUSINESS PHONE:** 212-248-0510

**MAIL ADDRESS:**
- **STREET 1:** 14 EAST 52ND STREET
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10022

**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

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM MA: UNIFORM APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

### Filer and Contact Information

**Filer CIK:** 0000081909

**Filer CCC:** XXXXXXXX

**Contact Name:** JOSEPH KOFFER

**Contact Phone:** 212-378-7165

**Contact Email:** joseph.koffer@ramirezco.com

**Notification Emails:** joseph.koffer@ramirezco.com

### Type of Filing

**Selected Filing Type:** Annual Update

### Item 1: Identifying Information

**A. Full Legal Name of the Firm:** SAMUEL A. RAMIREZ & COMPANY, INC.

**&nbsp;&nbsp;&nbsp;Organization CRD No.:** 6963

**&nbsp;&nbsp;&nbsp;Is applicant a Sole Proprietor?:** No

**&nbsp;&nbsp;&nbsp;Has the municipal legal name changed since the last filing?:** No

**&nbsp;&nbsp;&nbsp;Has the applicant had any previous DBA names?:** No

**&nbsp;&nbsp;&nbsp;Does the applicant have any additional DBA names?:** Yes

**C. IRS Employer Identification Number:** 13-2695511

**D. Registrations:**

- **Municipal Advisor (Temporary):** SEC File No: 866-00740-00

- **Municipal Advisor:** SEC File No: 867-00725

- **Broker-Dealer:** SEC File No: 008-19014, CRD No: 6963

**Additional Registrations:**

- **MUNICIPAL SECURITIES RULE MARKING BOARD(MSRB):** A1165

- **FINANCIAL INDUSTRY REGULTORY INDUSTRY AUTHORITY (FINRA):** 6963

**E. Principal Office and Place of Business:** 14 EAST 52nd STREET, NEW YORK, NY, 10022

**Telephone Number:** 212-248-0500

**Additional Offices of Employment:**

- **Office #1 (Add):** 100 CAMBRIDGE STREET, BOSTON, MA, 02114 | Phone: 857-317-4182

**Mailing Address is Different from Principal Office:** No

**F. Website:** www.ramirezco.com

**G. Chief Compliance Officer (CCO):**

**Name:** JOSEPH THOMAS KOFFER

**Address:** 14 EAST 52nd STREET, NEW YORK, NY, 10022

**Phone Number:** 212-378-7165

**Email:** joseph.koffer@ramirezco.com

**H. Business Affiliates:**

- **Name:** RAMIREZ ASSET MANAGEMENT, INC.

  - **Issuing Agency:** SEC

  - **Jurisdiction:** 

**I. Location of Books and Records:** No

### Item 2: Form of Organization

**A. Applicant's form of organization:** Corporation

**B. Month of Applicant's Annual Fiscal Year End:** September

**C. State, Other U.S. Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized:** NY

**D. Date of Organization:** 12-31-1971

**E. Is the applicant a public reporting company?:** No

### Item 3: Successions

**Is the applicant succeeding to the business of a registered municipal advisor?** No

### Item 4: Information About Applicant's Business

**A. Number of Employees:** 6

**B. Municipal Advisory Activities - Employees:** 6

**C. Registered Representatives - MAA Employees also registered reps of a broker-dealer:** 6

**&nbsp;&nbsp;&nbsp;MAA Employees also associated with an investment adviser:** 0

**D. Public Relations Company?:** No

**E. Soliciting on Behalf of an Affiliate - Number of firms:** 0

**F. Types of Clients - Number of clients served as municipal advisor:** 3

**&nbsp;&nbsp;&nbsp;Types of Clients:** Municipal Entities, Non-profit organizations

**G. Solicitation of Municipal Entities and Obligated Persons - Municipal Entities:** 0

**&nbsp;&nbsp;&nbsp;Obligated Persons:** 0

**&nbsp;&nbsp;&nbsp;Total Solicited:** 0

**H. Types of Persons Solicited:** 
Not Applicable
, Not Applicable

**I. Compensation Arrangements (Municipal Advisory):** 
Hourly Charges
Fixed Fees
Contingent Fees
, Hourly Charges, Fixed Fees, Contingent Fees

**J. Compensation Arrangements (Solicitation):** 
Not Applicable
, Not Applicable

**K. Does the applicant receive compensation in the context of its municipal advisory business from other than its municipal entity or obligated person clients?:** No

**L. Applicant Business Relating to Municipal Securities:** Advice Insurance Of MS, Advice ME Investments, Advice On Selection

### Item 5: Other Business Activities

- **Broker-Dealer:** Actively Engaged: Yes, Primary Business: Yes

**Is applicant engaged in any other non-municipal advisor business?** No

### Item 6: Financial Industry and Other Activities of Associated Persons

**Types of associated persons:** Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer, Broker-dealer municipal securities dealer or government securities broker or dealer

**Total Associated Persons:** 6

### Item 7: Participation or Interest in Client Transactions

- **Buy or sell municipal securities from or to municipal advisory clients for the firm's own account?:** No

- **Buy or sell municipal securities from or to third-parties on behalf of clients?:** No

- **Enter into derivatives transactions with clients for the firm's own account?:** No

- **Recommend to clients to buy/sell securities in which the firm has a financial interest?:** No

- **Recommend to clients products/services of an affiliated person?:** No

- **Recommend to clients securities of an issuer with which the firm has other relationships?:** No

- **Have discretionary authority to buy/sell municipal securities for clients?:** No

- **Have discretionary authority to buy/sell any other securities or investments for clients?:** No

- **Have discretionary authority to determine the broker-dealer to be used for client transactions?:** No

- **Have discretionary authority to determine the commission paid to a broker-dealer?:** No

- **Recommend broker-dealers to clients?:** No

- **&nbsp;&nbsp;&nbsp;If yes, are any of these broker-dealers an associated person of the applicant?:** —

- **Compensate any person for client referrals?:** No

- **Receive compensation from any person for client referrals?:** No

### Item 8: Owners, Officers, and Other Control Persons

**A. (2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?** No

**B. (1) Is any person in Schedule A, B, or C, or in Section 8-A of Schedule D a public reporting company?** No

### Item 9: Disclosure Information

**Criminal Disclosure:**

- **Applicant/Advisory Affiliate Convicted/Pled Guilty to Felony?:** No

- **Applicant/Advisory Affiliate Charged with Felony?:** No

- **Organization Convicted/Pled Guilty to Felony?:** No

- **Organization Charged with Felony?:** No

**Regulatory Disclosure:**

- **SEC/CFTC Found False Statement?:** No

- **SEC/CFTC Found Violation?:** No

- **SEC/CFTC Found Cause of Denial/Suspension?:** No

- **SEC/CFTC Entered Order?:** No

- **SEC/CFTC Imposed Civil Penalty?:** No

- **SRO Found Unethical Conduct?:** No

- **SRO Found Violation?:** No

- **SRO Found Cause of Denial/Suspension?:** No

- **SRO Barred/Suspended/Fined > $2,500?:** No

- **SRO Denied/Suspended/Revoked Registration?:** No

- **Foreign Authority Found False Statement?:** No

- **Foreign Authority Found Violation?:** Yes

- **Foreign Authority Found Cause of Suspension?:** No

- **Foreign Authority Disciplined?:** No

- **Authorization to Act as Attorney/Accountant Revoked?:** No

- **Subject of a Regulatory Complaint?:** No

**Civil Disclosure:**

- **Enjoined in Connection with Municipal Advisory Activity?:** No

- **Found to Have Violated Regulations?:** No

- **Civil Proceeding Dismissed Pursuant to Settlement?:** No

- **Named in Civil Proceeding Alleging Violation?:** No

### Item 10: Small Businesses

**Does the applicant have annual receipts of less than $7,000,000?** No

**Is the applicant affiliated with a person that has annual receipts of more than $7,000,000?** No

### Schedule A: Direct Owners and Executive Officers

| Name                  | Title/Status    | Date Acquired   | Ownership Code            | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|
| SAR HOLDINGS, INC.    | HOLDING COMPANY | 04-02-1998      | E - 75% or more           | Yes               |  |  |
| SAMUEL ALFRED RAMIREZ | CEO             | 08-01-2014      | B - 10% but less than 25% | Yes               |  | 827095       |
| JOSEPH THOMAS KOFFER  | CCO             | 08-01-2014      | NA - less than 5%         | Yes               |  | 6043686      |

### Schedule B: Indirect Owners

| Owning Entity      | Name                       | Title/Status   | Date Acquired   | Ownership Code            | Control Person?   |
|:---|:---|:---|:---|:---|:---|
| SAR HOLDINGS, INC. | SAMUEL ALFRED RAMIREZ, SR. | SHAREHOLDER    | 04-02-1998      | D - 50% but less than 75% | Yes               |
| SAR HOLDINGS, INC. | SAMUEL ALFRED RAMIREZ, JR  | SHAREHOLDER    | 04-02-1998      | C - 25% but less than 50% | Yes               |

### Schedule C: Amendments to Schedules A and B

| Type   | Ownership   | Owning Entity      | Name                       | Title/Status    | Date Acquired   | Ownership Code            | Control Person?   | IRS Number   | CRD Number   |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | Direct      |  | SAR HOLDINGS, INC.         | HOLDING COMPANY | 04-02-1998      | E - 75% or more           | Yes               |  |  |
|  | Direct      |  | SAMUEL ALFRED RAMIREZ      | CEO             | 08-01-2014      | B - 10% but less than 25% | Yes               |  | 827095       |
|  | Direct      |  | JOSEPH THOMAS KOFFER       | CCO             | 08-01-2014      | NA - less than 5%         | Yes               |  | 6043686      |
|  | Indirect    | SAR HOLDINGS, INC. | SAMUEL ALFRED RAMIREZ, SR. | SHAREHOLDER     | 04-02-1998      | D - 50% but less than 75% | Yes               |  | 827095       |
|  | Indirect    | SAR HOLDINGS, INC. | SAMUEL ALFRED RAMIREZ, JR  | SHAREHOLDER     | 04-02-1998      | C - 25% but less than 50% | Yes               |  | 2261054      |

### Disclosure Reporting Pages (DRPs)

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SAMUEL A. RAMIREZ & CO, INC.

- **CRD Number:** 6963

- **Disclosure Number:** 1022834

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SAMUEL A. RAMIREZ & CO, INC.

- **CRD Number:** 6963

- **Disclosure Number:** 315443

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SAMUEL A. RAMIREZ & CO, INC.

- **CRD Number:** 6963

- **Disclosure Number:** 1565539

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SAMUEL A. RAMIREZ & CO, INC.

- **CRD Number:** 6963

- **Disclosure Number:** 1588009

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for SAMUEL A. RAMIREZ & CO, INC.

- **CRD Number:** 6963

- **Disclosure Number:** 1712653

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Samuel A. Ramirez & Co., Inc.

- **CRD Number:** 6963

- **Disclosure Number:** 2018057742101

**Regulatory DRP for: Applicant (Responding to Questions: 9-E2)**

- **Filed On (Applicant):** Form ADV/BD/U4 for Samuel A. Ramirez & Co., Inc.

- **CRD Number:** 6963

- **Disclosure Number:** 2018057742101

### Execution Page

**Signature:** Joseph Koffer

**Signer Name:** Joseph Koffer

**Title:** CCO

**Date:** 10-30-2025

**CRD Number:** 6963