Hal S. Tunick
Professional summary
Hal Steven Tunick was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Hal is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Hal had worked at 3 firms, which includes RAFFERTY CAPITAL MARKETS LLC, ROCHDALE SECURITIES LLC, ITG EXECUTION SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2012 - July 25, 2014
RAFFERTY CAPITAL MARKETS, LLC
February 3, 1995 - November 19, 2012
ROCHDALE SECURITIES LLC
May 20, 1985 - January 24, 1995
ITG EXECUTION SERVICES, INC.
State Registrations and Notice Filings
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Exams
Series 55
Date: 10/19/2000
Limited Representative-Equity Trader ExamCurrent 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 |
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