Howard G. Einhorn
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.
Howard George Einhorn, who also goes by Howard George Einhorn Jr, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1977. Howard had worked at 9 firms and has passed the Series 63, Series 7, Series 15 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2009 - November 2, 2009
RAFFERTY CAPITAL MARKETS, LLC
February 21, 1995 - December 31, 2004
FIRST MONTAUK SECURITIES CORP.
October 3, 1994 - February 24, 1995
MERIDIAN, DUNHILL & CO., INC.
April 16, 1992 - October 3, 1994
DUNHILL EQUITIES, INC.
March 11, 1982 - April 30, 1992
GRUNTAL & CO., L.L.C.
April 16, 1979 - March 23, 1982
BUTCHER & SINGER INC.
September 26, 1978 - February 28, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 22, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
October 26, 1977 - September 7, 1978
PRUDENTIAL EQUITY GROUP, LLC
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 15
Date: 5/10/1985
Foreign Currency Options ExaminationCurrent Firm
RAFFERTY CAPITAL MARKETS, LLC
CRD#: 23682 / SEC#: , 8-40605
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAFFERTY HOLDINGS, LLC | DIRECT OWNER | |
| HAY, KATHLEEN RAFFERTY | PRESIDENT | 5045127 |
| GOODE, JACQUELINE MARIE | FINOP | 1292607 |
| GOODE, JACQUELINE MARIE | PRINCIPAL FINANCIAL OFFICER | 1292607 |
| JAMES, SHARI | CFO | 7516372 |
| MARTENS, BARBARA LAUDISI | PRINCIPAL OPERATIONS OFFICER | 2992393 |
| MARTENS, BARBARA LAUDISI | CHIEF COMPLIANCE OFFICER | 2992393 |
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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