Kelly E. Clark Rafferty
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.
Kelly Elizabeth Clark Rafferty, who also goes by Kelly Elizabeth Clark, was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 2007. Kelly had worked at 2 firms and has passed the Series 63 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
August 11, 2011 - December 3, 2013
FM PARTNERS HOLDINGS LLC
January 1, 2007 - August 2, 2011
COWEN AND COMPANY
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
Current Firm
FM PARTNERS HOLDINGS LLC
CRD#: 134736 / SEC#: , 8-66861
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LMDC HOLDINGS LLC | MANAGING MEMBER | |
| ROSENBERG, WILLIAM BRUCE | CEO, CFO, COO, CCO | 1722850 |
Disclosures
| Regulatory Event | 15 |
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.
