Jeremy D. Rafferty
Professional summary
Jeremy Dennis Rafferty, who also goes by Jeremy D Rafferty, is a registered financial professional currently at MADISON AVENUE SECURITIES, LLC located in Denver, Colorado.
Jeremy is registered as a RR (Registered Representative) and started their career in finance in 1997. Jeremy has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9, Series 10, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jeremy Dennis Rafferty's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 10, 2020 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 4600 S. Syracuse Suite 650, Denver, CO 80237Office #2: 1 Denver Federal Center Building 45 Room 1050, Entrance E9, Lakewood, CO 80225June 26, 2007 - December 31, 2018
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
June 9, 2004 - February 16, 2007
ATLAS SECURITIES, LLC
September 26, 2003 - June 7, 2004
VALIC FINANCIAL ADVISORS, INC.
February 15, 1998 - June 7, 2004
VALIC FINANCIAL ADVISORS, INC.
September 24, 1997 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
Primary Firm SEC Registration
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/10/2020)
(12/10/2020)
Exams
FINRA
Current Firm
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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