Dennis P. Gogarty

RAFFA INVESTMENT ADVISERS

Washington, DC

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CRD#: 4592955

Professional summary

Dennis Patrick Gogarty, CFP®, who also goes by Dennis Patrick Gagarty, is a registered financial advisor currently at RAFFA INVESTMENT ADVISERS located in Washington, District Of Columbia.

Dennis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Dennis has worked at 3 firms and has passed the Series 66, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dennis Patrick Gagarty

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

INDEPENDENT AGENT SINCE 2002, RAFFA FINANCIAL SERVICES, 1445 RESEARCH BLVD., ROCKVILLE, MD; SALE OF GROUP BENEFITS INSURANCE SERVICES (GROUP HEALTH, LIFE, DISABILITY); INDIVIDUAL LIFE, LTD, AND LTC., APPROXIMATLEY 2 HOURS PER MONTH, ALL DURING TRADING HOURS, NOT INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Patrick Gogarty's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2005

Experience

Current

November 1, 2005 - Present

RAFFA INVESTMENT ADVISERS

RIA

CRD#: 136971

Washington, DC

Past

February 3, 2005 - April 5, 2006

INVESTORS SECURITY COMPANY, INC.

RIA

CRD#: 2331

ROCKVILLE, MD

Past

January 27, 2005 - December 31, 2008

INVESTORS SECURITY COMPANY, INC.

CRD#: 2331

ROCKVILLE, MD

Past

August 22, 2003 - January 10, 2005

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

BETHESDA, MD

Past

October 25, 2002 - January 10, 2005

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RAFFA INVESTMENT ADVISERS

RAFFA INVESTMENT ADVISERS | RAFFA WEALTH MANAGEMENT LLC

CRD#: 136971 / SEC#: 801-67687

RIA

Registered Investment Advisory firm - (3/30/2007 Approved)

District of Columbia

Registered Investment Advisory firm - (4/5/2007 Terminated)

Maryland

Registered Investment Advisory firm - (4/10/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

District of Columbia
(11/1/2005)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/29/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 6/27/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/24/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RAFFA INVESTMENT ADVISERS

RAFFA INVESTMENT ADVISERS | RAFFA WEALTH MANAGEMENT LLC

CRD#: 136971 / SEC#: 801-67687

RIA

Registered Investment Advisory firm - (3/30/2007 Approved)

District of Columbia

Registered Investment Advisory firm - (4/5/2007 Terminated)

Maryland

Registered Investment Advisory firm - (4/10/2007 Terminated)

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Contact information

Main Address

Washington, DC

Mailing Address

1899 L St., Nw Suite 850, Washington, DC 20036

Phone number

(202) 955-6734

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A AND PART 2B DISCLOSURE BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts	618
AUM (Assets Under Management)	$ 1,540,071,340

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.

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Firm Stability Insights

Dennis P. Gogarty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Patrick Gogarty's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESTORS SECURITY COMPANY, INC.

INVESTORS SECURITY COMPANY, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

RAFFA INVESTMENT ADVISERS

State Registrations and Notice Filings

Exams

Series 66

Date: 7/29/2003

Series 7

Date: 6/27/2003

Series 6

Date: 10/24/2002

Current Firm

RAFFA INVESTMENT ADVISERS

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RAFFA INVESTMENT ADVISERS

TRUST BUT VERIFY

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