Ronald P. Rafaloff
Professional summary
Ronald Paul Rafaloff was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ronald is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Ronald had worked at 9 firms, which includes LIBERTY PARTNERS FINANCIAL SERVICES LLC, EQUITY SOURCE PARTNERS LLC, RGR FINANCIAL CORP., JWGENESIS SECURITIES INC., CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., ADVEST INC., SWINK & COMPANY INC., M V SECURITIES INC. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2010 - March 12, 2013
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
July 27, 2010 - August 5, 2010
EQUITY SOURCE PARTNERS, LLC
August 1, 1996 - July 2, 2003
RGR FINANCIAL CORP.
July 2, 1996 - August 13, 1996
JWGENESIS SECURITIES, INC.
July 31, 1993 - June 21, 1996
CITIGROUP GLOBAL MARKETS INC.
October 11, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
October 21, 1986 - October 23, 1992
ADVEST, INC.
April 14, 1983 - October 29, 1986
SWINK & COMPANY, INC.
May 12, 1982 - February 24, 1983
M V SECURITIES, INC. 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
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
CRD#: 130390 / SEC#: , 8-66335
Contact information
FINRA licenses (17 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RETHINK, LLC | OWNER | |
| ATKINS, BRADLEY DALE | OWNER | 2963790 |
| SHANAHAN, DANIEL JAMES | CHIEF EXECUTIVE OFFICER | 3277912 |
| SHANAHAN, DANIEL JAMES | PRINCIPAL OPERATIONS OFFICER | 3277912 |
| SHANAHAN, DANIEL JAMES | CHIEF COMPLIANCE OFFICER | 3277912 |
| WOODWARD, CASSANDRA TALEEN | CHIEF FINANCIAL OFFICER | 2956369 |
| WOODWARD, CASSANDRA TALEEN | PRINCIPAL FINANCIAL OFFICER & FINOP | 2956369 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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