Thomas F. Mcdevitt
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.
Thomas Francis Mcdevitt, who also goes by Thomas Francis Mcdevitt Jr, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 8 firms and has passed the Series 63, SIE, Series 5, 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
December 13, 2012 - December 15, 2017
RAFFERTY CAPITAL MARKETS, LLC
March 28, 2006 - December 22, 2009
FCG ADVISORS, LLC
January 28, 2004 - November 3, 2005
GLOBAL BROKERAGE SERVICES, INC.
August 12, 1998 - April 18, 2002
COWEN AND COMPANY
May 6, 1997 - August 3, 1998
MEENAN, MCDEVITT SECURITIES, INC.
April 20, 1992 - August 21, 1997
RAFFERTY CAPITAL MARKETS, LLC
December 6, 1989 - May 10, 1991
CITICORP SECURITIES, INC.
May 24, 1988 - September 27, 1989
BARRETT & COMPANY
September 24, 1984 - January 28, 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
Series 5
Date: 7/21/1986
Interest Rate Options ExaminationCurrent 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.
