James S. Raphaely
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 Scott Raphaely, who also goes by Jim Raphaely, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1996. James had worked at 5 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2012 - December 31, 2012
RF CONSULTING GROUP, LLC
January 3, 2007 - December 31, 2007
BROKERSXPRESS LLC
April 27, 2005 - December 31, 2011
RF CONSULTING GROUP, LLC
October 30, 2003 - October 6, 2006
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 4, 2003 - December 31, 2004
RF CONSULTING GROUP, LLC
March 10, 1997 - November 19, 2003
WALNUT STREET SECURITIES, INC.
April 16, 1996 - February 28, 1997
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Exams
Current Firm
RF CONSULTING GROUP, LLC
CRD#: 125161 / SEC#:
Contact information
Red Flags
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