Raymond J. 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.
Raymond Joseph Mccaffrey MR., who also goes by Raymond J. Mccaffrey Mr., Raymond Joseph Mccaffrey, Raymond Mccaffrey, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 2006. Raymond had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 2 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2024 - June 4, 2024
MALVERN CAPITAL MANAGEMENT
September 5, 2023 - December 11, 2023
LINCOLN INVESTMENT
September 5, 2023 - December 11, 2023
CAPITAL ANALYSTS
October 11, 2022 - August 31, 2023
RED SPRUCE CAPITAL, LLC
July 7, 2020 - October 4, 2022
BRYN MAWR TRUST ADVISORS, LLC
July 27, 2015 - October 4, 2022
CYPRESS CAPITAL MANAGEMENT, LLC
November 15, 2006 - May 25, 2007
MCCAFFREY MANAGEMENT, LLC
Primary Firm SEC Registration
MALVERN CAPITAL MANAGEMENT
CRD#: 292396 / SEC#: 801-131034
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 2
Date: 9/29/1993
Non-Member General Securities ExaminationCurrent Firm
MALVERN CAPITAL MANAGEMENT
CRD#: 292396 / SEC#: 801-131034
Contact information
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 350 |
| AUM (Assets Under Management) | $ 225,376,716 |
Red Flags
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