James J. Keane
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.
James Joseph Keane JR was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1970. James had worked at 8 firms and has passed the SIE, Series 55, Series 41, Series 1, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2010 - January 2, 2020
RAFFERTY CAPITAL MARKETS, LLC
October 23, 1980 - May 6, 2010
KEANE SECURITIES CO., INC.
January 31, 1979 - December 23, 1981
PURCELL GRAHAM INCORPORATED
January 10, 1979 - January 22, 1979
GORDON, HASKETT & CO.
August 30, 1974 - November 7, 1977
JESUP & LAMONT SECURITIES CO., INC.
June 25, 1974 - August 30, 1974
JESUP & LAMONT INCORPORATED
February 1, 1973 - July 20, 1974
WHITE, WELD & CO. INCORPORATED
July 22, 1970 - February 9, 1973
DUPONT WALSTON, INCORPORATED
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 55
Date: 2/22/2000
Limited Representative-Equity Trader ExamSeries 41
Date: 8/29/1975
NYSE Allied Member ExaminationSeries 1
Date: 2/8/1956
Registered Representative ExaminationSeries 00
Date: 3/4/1968
General Securities Principal ExaminationCurrent Firm
RAFFERTY CAPITAL MARKETS, LLC
CRD#: 23682 / SEC#: , 8-40605
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAFFERTY HOLDINGS, LLC | DIRECT OWNER | |
| HAY, KATHLEEN RAFFERTY | PRESIDENT | 5045127 |
| GOODE, JACQUELINE MARIE | FINOP | 1292607 |
| GOODE, JACQUELINE MARIE | PRINCIPAL FINANCIAL OFFICER | 1292607 |
| JAMES, SHARI | CFO | 7516372 |
| MARTENS, BARBARA LAUDISI | PRINCIPAL OPERATIONS OFFICER | 2992393 |
| MARTENS, BARBARA LAUDISI | CHIEF COMPLIANCE OFFICER | 2992393 |
Disclosures
| Regulatory Event | 6 |
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.
