Kevin M. Daniels
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.
Kevin Michael Daniels, who also goes by Kevein Michael Daniels, Kevin Daniels, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1998. Kevin had worked at 9 firms and has passed the Series 63, SIE, Series 25, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2013 - February 27, 2017
RAFFERTY CAPITAL MARKETS, LLC
February 28, 2011 - January 25, 2013
GUGGENHEIM SECURITIES, LLC
December 14, 2009 - February 28, 2011
CANACCORD GENUITY SECURITIES LLC
November 14, 2007 - December 16, 2009
TRADITION SECURITIES AND DERIVATIVES LLC
June 13, 2006 - November 19, 2007
VDM INSTITUTIONAL BROKERAGE, LLC
May 22, 2006 - June 15, 2006
TROY SECURITIES, INC.
April 26, 2002 - May 25, 2006
DOYLE, MILES & CO., LLC
October 1, 2000 - April 29, 2002
B.R. DOYLE & CO., INC.
June 22, 1998 - February 9, 1999
FANO SECURITIES LLC
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 25
Date: 3/13/2000
NYSE Trading Assistant ExaminationSeries 55
Date: 9/16/1999
Limited Representative-Equity Trader ExamCurrent 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
