Catherine A. Curley
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.
Catherine Ann Curley, who also goes by Catherine Ann Harris, Cathy Harris, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1997. Catherine had worked at 4 firms and has passed the Series 63, 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 3, 2011 - August 4, 2014
RAFFERTY CAPITAL MARKETS, LLC
October 7, 2008 - December 31, 2010
KELLOGG PARTNERS INSTITUTIONAL SERVICES LLC
May 16, 2005 - October 2, 2008
SCHONFELD SECURITIES, LLC
May 19, 1997 - May 19, 2005
BOSTON INSTITUTIONAL SERVICES 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: 6/10/1999
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
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.
