Andrew E. Cafferky
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Andrew Emmett Cafferky JR, who also goes by Andrew Emmett Cafferky, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1986. Andrew had worked at 5 firms and has passed the Series 63, Series 7, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 1990 - February 3, 1992
THE RIVERVIEW CORPORATION
May 31, 1989 - September 12, 1990
FIRST AFFILIATED SECURITIES
May 26, 1988 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
November 23, 1987 - May 12, 1988
ROBERT THOMAS SECURITIES, INC
September 5, 1986 - November 30, 1987
THOMSON MCKINNON SECURITIES INC.
State Registrations and Notice Filings
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Exams
Current Firm
THE RIVERVIEW CORPORATION
CRD#: 25260 / SEC#: , 8-41456
Contact information
Documents
Red Flags
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