Brian F. Raffaele
Professional summary
Brian Francis Raffaele, who also goes by Brian Francis Raffaele, is a registered financial professional currently at PERFORMANCE TRUST CAPITAL PARTNERS, LLC located in Chicago, Illinois and MONROE FINANCIAL PARTNERS, INC. located in Chicago, Illinois.
Brian is registered as a RR (Registered Representative) and started their career in finance in 2001. Brian has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 55 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian Francis Raffaele's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 18, 2024 - Present
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
Office #1: 500 W. Madison Suite 450, Chicago, IL 60661May 8, 2024 - Present
MONROE FINANCIAL PARTNERS, INC.
Office #1: 500 W. Madison Suite 450, Chicago, IL 60661July 12, 2023 - February 29, 2024
TD SECURITIES (USA) LLC
September 10, 2021 - July 13, 2023
BMO CAPITAL MARKETS CORP.
August 8, 2017 - January 7, 2021
MONROE FINANCIAL PARTNERS, INC.
September 11, 2012 - December 10, 2012
MORGAN STANLEY
May 8, 2007 - July 19, 2011
MONROE FINANCIAL PARTNERS, INC.
June 11, 2001 - October 29, 2001
R. J. MURPHY EXECUTIONS, INC.
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: 8/2/2007
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
MONROE FINANCIAL PARTNERS, INC.
CRD#: 2811 / SEC#: , 8-14045
Contact information
FINRA licenses (23 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PT FINANCIAL COMPANIES, LLC | MANAGING MEMBER | |
| BURESH, ADAM COULTER | BOARD MEMBER | 5216617 |
| DILASCIA, DARYLE ANTHONY | PRESIDENT/BOARD MEMBER | 2793078 |
| DOCHERTY, JENNIFER ANN | GENERAL COUNSEL | 4587223 |
| GAZDA, RYAN M | TREASURER, CFO & BOARD MEMBER | 4230980 |
| LOVE, KRISTIN M | SECRETARY, CCO & BOARD MEMBER | 4370951 |
| MCCRARY, TIMOTHY JAMES | HEAD OF TRADING/BOARD MEMBER | 5789747 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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