Gordon P. Rafferty
Professional summary
Gordon Patrick Rafferty, who also goes by Gordon Rafferty, is a registered financial professional currently at CIBC WORLD MARKETS CORP. located in New York, New York.
Gordon is registered as a RR (Registered Representative) and started their career in finance in 2010. Gordon has worked at 4 firms and has passed the Series 63, SIE and Series 37 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gordon Patrick Rafferty's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 24, 2018 - Present
CIBC WORLD MARKETS CORP.
Office #1: 300 Madison Avenue Sixth Floor, New York, NY 10017November 19, 2015 - January 19, 2018
UBS SECURITIES LLC
January 6, 2014 - September 29, 2015
VIII CAPITAL CORP.
December 15, 2010 - December 9, 2013
GRIFFITHS MCBURNEY CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/24/2018)
Exams
Series 37
Date: 12/14/2010
Canada Module of the General Securities Registered Representative (With Options Questions)Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
CIBC WORLD MARKETS CORP.
CRD#: 630 / SEC#: , 8-18333
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CIBC INC. | 100% SHAREHOLDER | |
| CONSOLA, PATRICK D | CHIEF COMPLIANCE OFFICER | 1133831 |
| DUBCZAK, ROMAN STEPAN | DIRECTOR | 5511542 |
| GRIFFITH, MARVIN SCOTT | PRINCIPAL FINANCIAL OFFICER | 1670889 |
| PERRY, ACHILLES M | GENERAL COUNSEL, ASSISTANT SECRETARY, DIRECTOR | 4183476 |
| PRICE, ERIC S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 1985843 |
| TRABOULSI, ALFRED | MANAGING DIRECTOR, HEAD US INVESTMENT BANKING | 6594715 |
| ZELLERMAYER, MICHAEL | PRINCIPAL OPERATIONS OFFICER | 1662785 |
Disclosures
| Regulatory Event | 76 |
| Arbitration | 86 |
Red Flags
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