AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
CG

Clark Gillies

Some features on this profile are disabled
CRD#: 1996568
CG

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.

Clark Gillies was a registered financial professional .

Clark is a previously registered financial professional and started their career in finance in 1989. Clark had worked at 4 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

February 2, 2009 - March 6, 2014

RAFFERTY CAPITAL MARKETS, LLC

BD
CRD#: 23682
GARDEN CITY, NY
Past

July 18, 1994 - December 31, 2003

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
MELVILLE, NY
Past

July 18, 1994 - February 4, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
MELVILLE, NY
Past

March 3, 1993 - July 21, 1994

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

November 22, 1989 - March 4, 1993

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
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: 12/20/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/18/1989
General Securities Representative 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
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

TRUST BUT VERIFY

Monitor Clark Gillies

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics