Kevin P. Meenan
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.
Kevin Patrick Meenan was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1985. Kevin had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 53, Series 9, Series 10 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
December 6, 2013 - February 4, 2015
RAFFERTY CAPITAL MARKETS, LLC
April 19, 2011 - May 3, 2012
MUFG SECURITIES AMERICAS INC.
April 14, 2009 - April 18, 2011
RAFFERTY CAPITAL MARKETS, LLC
April 3, 2002 - April 4, 2007
KEEFE, BRUYETTE & WOODS, INC.
July 17, 2001 - March 26, 2002
ABN AMRO INCORPORATED
August 17, 1998 - July 19, 2001
COWEN AND COMPANY
May 6, 1997 - August 3, 1998
MEENAN, MCDEVITT SECURITIES, INC.
June 3, 1991 - August 21, 1997
RAFFERTY CAPITAL MARKETS, LLC
May 21, 1987 - April 23, 1991
CITICORP SECURITIES, INC.
April 23, 1985 - January 16, 1987
SALOMON BROTHERS 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.
