Richard Raught Jeffrey Jr
Professional Summary
Richard Raught Jeffrey JR, who also goes by Rick Jeffrey, is a registered financial advisor currently at DMK ADVISOR GROUP, INC. located in Lutz, Florida. Richard is registered as a RR (Registered Representative) and started their career in finance in 1987. Richard has worked at 13 firms and has passed the Series 63, SIE, Series 79, Series 7, Series 24, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rick Jeffrey
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
DMK ADVISOR GROUP, INC. | STEPHEN A. KOHN & ASSOCIATES, LTD.
Contact Information
Main Address
17961 Hunting Bow Circle Suite 102, Lutz, FL 33558Mailing Address
17961 Hunting Bow Circle Suite 102, Lutz, FL 33558Phone Number
(303) 470-5664Established
Colorado since 04/30/1996Firm Type
CorporationFiscal Year End
MarchFirm Size
Small# of Employees
38SEC notice filing (36 States and Territories)
Registered to provide investment advisory services in 36 US states and territories.
FINRA licenses (46 States and Territories)
Registered to provide investment advisory services in 36 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DESAI, JANAK R | DIRECTOR | 6307455 |
| DOUGLAS, KELVIN RAY | DIRECTOR | 4723703 |
| MISRA, SUNIL DUTT | DIRECTOR/PRINCIPAL | 5617829 |
| PEREZ, JORGE RAMON | DIRECTOR | 2253547 |
| SCHWARTZ, HAROLD ALAN | CEO/PRINCIPAL | 841225 |
| BASKETT, ERIN ELAINE | CHIEF COMPLIANCE OFFICER | 4538604 |
| GALLIGAN, PETER B | FINOP | 1873304 |
| GROSMAN, BARRY JULIAN | DIRECTOR | 7967542 |
| KOHN, STEPHEN ALAN | MUNI PRINCIPAL | 1267211 |
Regulatory Assets Under Management
Total Number of Accounts
779AUM (Assets Under Management)
$130,803,725Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
DMK ADVISOR GROUP, INC. | STEPHEN A. KOHN & ASSOCIATES, LTD.
State Registrations and Notice Filings
(10/17/2026)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Aug 2013About the Series 79 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Apr 2001About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2001About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard Raught Jeffrey JR's CRS (Customer Relationship Summary).
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