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MR

Michael L. Rafferty

Some features on this profile are disabled
CRD#: 2363413
MR

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.

Michael Lawrence Rafferty was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1995. Michael had worked at 3 firms and has passed the Series 63, SIE 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

November 6, 2009 - May 6, 2010

KEANE SECURITIES CO., INC.

BD
CRD#: 8452
NEW YORK, NY
Past

April 26, 1999 - January 5, 2021

RAFFERTY CAPITAL MARKETS, LLC

BD
CRD#: 23682
NEW YORK, NY
Past

July 28, 1995 - December 15, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
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: 9/14/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/27/1995
General Securities Representative Examination

Current Firm

KS
KEANE SECURITIES CO., INC.
KEANE SECURITIES CO., INC.

CRD#: 8452 / SEC#: , 8-25308

BD
Terminated by SEC on 07/05/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 10/27/1980
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
RAFFERTY HOLDINGS, LLCDIRECT OWNER
FELL, JOHN KEITHPRESIDENT1379481
KEANE, JAMES JOSEPH JRSENIOR VICE PRESIDENT265690
O'NEILL, CHRISTOPHER CRAIGCHIEF COMPLIANCE OFFICER4711177
OHEARN, WALTER DONALD JRSENIOR VICE PRESIDENT, DIRECTOR1651213
RAFFERTY, MICHAEL LAWRENCESENIOR VICE PRESIDENT, DIRECTOR2363413
SIPKIN, JOSEPH GARYFINANCIAL AND OPERATIONS PRINCIPAL1334813

Disclosures

Regulatory Event11

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

KEANE SECURITIES CO., INC.

CRD#: 8452

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