Joseph W. Mccaffrey
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.
Joseph Wayne Mccaffrey, who also goes by Joseph Mccaffrey, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1993. Joseph had worked at 9 firms and has passed the Series 63, Series 7, Series 25, Series 9, Series 14 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2004 - January 23, 2007
AMERIVEST PARTNERS, LLC
November 8, 1999 - November 3, 2006
LABRANCHE FINANCIAL SERVICES, LLC
May 12, 1998 - May 25, 1999
KALIN ASSOCIATES, INC.
May 7, 1998 - May 14, 1999
HAPOALIM SECURITIES USA, INC.
March 25, 1996 - April 24, 1999
DOLEY SECURITIES, LLC.
July 28, 1995 - January 23, 2007
BAY CREST PARTNERS, LLC
May 26, 1995 - February 20, 1998
APEX CLEARING CORPORATION
June 10, 1994 - March 21, 1995
ADLER COLEMAN & CO., INC.
August 16, 1993 - May 17, 1994
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 25
Date: 3/13/2000
NYSE Trading Assistant ExaminationCurrent Firm
AMERIVEST PARTNERS, LLC
CRD#: 46815 / SEC#: , 8-51561
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FREEDOM HOLDING GROUP, LLC | SOLE OWNER | |
| MULLIGAN, WILLIAM PETER JR. | MANAGER | 1614209 |
Disclosures
| Regulatory Event | 4 |
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.
