Richard L. Ohara
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.
Richard L Ohara, who also goes by Richard L O Hara, Richard L O'hara, Richard Luke O'hara III, Richard Luke Ohara III, Richard Luke Ohara, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 12 firms and has passed the Series 63, SIE, Series 22, Series 7 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
July 1, 2019 - September 21, 2021
RAFFERTY CAPITAL MARKETS, LLC
September 21, 2011 - December 31, 2017
QUASAR DISTRIBUTORS, LLC
August 1, 2006 - January 16, 2019
M.D. SASS SECURITIES, L.L.C.
February 16, 1990 - April 1, 2004
IDS LIFE INSURANCE COMPANY
February 16, 1990 - April 1, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
February 6, 1989 - July 26, 1989
LEHMAN BROTHERS INC.
October 1, 1988 - November 15, 1988
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
October 1, 1988 - November 15, 1988
PRUCO SECURITIES, LLC.
July 25, 1987 - July 13, 1988
FUNDAMENTAL BROKERS
March 18, 1985 - September 10, 1986
IBL SYNDICATIONS INC
February 7, 1985 - March 18, 1985
CITICORP FINANCIAL SERVICES,INC.
May 24, 1982 - March 9, 1983
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RAFFERTY CAPITAL MARKETS, LLC
CRD#: 23682 / SEC#: , 8-40605
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAFFERTY HOLDINGS, LLC | DIRECT OWNER | |
| HAY, KATHLEEN RAFFERTY | PRESIDENT | 5045127 |
| GOODE, JACQUELINE MARIE | FINOP | 1292607 |
| GOODE, JACQUELINE MARIE | PRINCIPAL FINANCIAL OFFICER | 1292607 |
| JAMES, SHARI | CFO | 7516372 |
| MARTENS, BARBARA LAUDISI | PRINCIPAL OPERATIONS OFFICER | 2992393 |
| MARTENS, BARBARA LAUDISI | CHIEF COMPLIANCE OFFICER | 2992393 |
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
