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JM

Jeffrey E. Maccune

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CRD#: 1428971
JM

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.

Jeffrey Edward Maccune, who also goes by Jeff Maccune, was a registered financial professional .

Jeffrey is a previously registered financial professional and started their career in finance in 1986. Jeffrey had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeff Maccune

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 8, 2008 - March 16, 2016

RAFFERTY CAPITAL MARKETS, LLC

BD
CRD#: 23682
GARDEN CITY, NY
Past

April 6, 2007 - August 4, 2008

FIRST DOMINION CAPITAL CORP.

BD
CRD#: 16330
RICHMOND, VA
Past

June 14, 2004 - May 2, 2005

BOSTON INSTITUTIONAL SERVICES INCORPORATED

BD
CRD#: 5861
BOSTON, MA
Past

April 21, 2003 - May 5, 2004

W.R. HAMBRECHT + CO., LLC

BD
CRD#: 45040
SAN FRANCISCO, CA
Past

January 24, 2002 - April 15, 2003

FIRST DOMINION CAPITAL CORP.

BD
CRD#: 16330
RICHMOND, VA
Past

June 14, 1999 - February 7, 2000

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

September 1, 1997 - June 14, 1999

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

May 12, 1993 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

BD
CRD#: 20
Past

January 28, 1986 - February 29, 1996

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/2/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/16/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/16/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/6/2004
General Securities Principal Examination

Current Firm

RC
RAFFERTY CAPITAL MARKETS, LLC
COHANE RAFFERTY CAPITAL MARKETS, INC. | RAFFERTY CAPITAL MARKETS, LLC | RAFFERTY CAPITAL MARKETS, INC.

CRD#: 23682 / SEC#: , 8-40605

BD
Terminated by SEC on 02/19/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 10/16/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
RAFFERTY HOLDINGS, LLCDIRECT OWNER
HAY, KATHLEEN RAFFERTYPRESIDENT5045127
GOODE, JACQUELINE MARIEFINOP1292607
GOODE, JACQUELINE MARIEPRINCIPAL FINANCIAL OFFICER1292607
JAMES, SHARICFO7516372
MARTENS, BARBARA LAUDISIPRINCIPAL OPERATIONS OFFICER2992393
MARTENS, BARBARA LAUDISICHIEF COMPLIANCE OFFICER2992393

Disclosures

Regulatory Event6

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.

Company Information

RAFFERTY CAPITAL MARKETS, LLC

CRD#: 23682

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