Matthew Edward Rafferty
Professional Summary
Matthew Edward Rafferty is a registered financial advisor currently at ASSETMARK BROKERAGE, LLC located in Phoenix, Arizona. Matthew is registered as a RR (Registered Representative) and started their career in finance in 2015. Matthew has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CETERA INVESTMENT ADVISERS LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CETERA INVESTMENT ADVISERS LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CETERA INVESTMENT ADVISERS LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CETERA INVESTMENT ADVISERS LLC
Years of Experience
11 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CETERA INVESTMENT ADVISERS LLC
Current Firm
ASSETMARK BROKERAGE, LLC
Contact Information
Main Address
1655 Grant Street 10th Floor, Concord, CA, 94520Mailing Address
1655 Grant Street 10th Floor, Concord, CA, 94520Phone Number
(925) 787-3781Established
Delaware since 09/25/2013Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASSETMARK FINANCIAL HOLDINGS, INC. | OWNER | — |
| DIEDENHOFEN, JENNIFER MICHELLE | AML COMPLIANCE OFFICER | 8223655 |
| EPSTEIN, ANDREW ROSS | DIRECTOR, PRODUCT DUE DILIGENCE | 1028884 |
| HANSEN, CARRIE ELLEN | PRESIDENT/ MANAGING PRINCIPAL | 4781315 |
| KOVAL, JOHN HENRY | CFO/ FINOP/ PFO/ POO | 2468284 |
| LAMBUTH, RYAN SCOTT | CHIEF COMPLIANCE OFFICER | 5382199 |
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CETERA INVESTMENT ADVISERS LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CETERA INVESTMENT ADVISERS LLC
State Registrations and Notice Filings
(9/28/2016)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CETERA INVESTMENT ADVISERS LLC
CRS (Client Relationship Summary) - BD
Click below to view Matthew Edward Rafferty's CRS (Customer Relationship Summary).
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CETERA INVESTMENT ADVISERS LLC