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DD

Daniel R. Delahanty

Some features on this profile are disabled
CRD#: 860689
DD

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.

Daniel Robert Delahanty was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1978. Daniel had worked at 4 firms and has passed the Series 63, Series 7, Series 53 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 22, 2013 - August 19, 2014

RAFFERTY CAPITAL MARKETS, LLC

BD
CRD#: 23682
GARDEN CITY, NY
Past

February 14, 2012 - May 15, 2013

RAFFERTY CAPITAL MARKETS, LLC

BD
CRD#: 23682
GARDEN CITY, NY
Past

July 13, 2010 - July 22, 2013

SANDGRAIN SECURITIES LLC

BD
CRD#: 26004
GARDEN CITY, NY
Past

November 2, 2004 - January 16, 2008

RAFFERTY CAPITAL MARKETS, LLC

BD
CRD#: 23682
GARDEN CITY, NY
Past

December 27, 1978 - February 3, 2003

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

January 31, 1978 - May 15, 1978

SECURITIES CLEARING CORPORATION

BD
CRD#: 756

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/13/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/16/1978
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 1/10/1992
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 5/24/1989
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

RC
RAFFERTY CAPITAL MARKETS, LLC
COHANE RAFFERTY CAPITAL MARKETS, INC. | RAFFERTY CAPITAL MARKETS, LLC | RAFFERTY CAPITAL MARKETS, INC.

CRD#: 23682 / SEC#: , 8-40605

BD
Terminated by SEC on 02/19/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 10/16/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
RAFFERTY HOLDINGS, LLCDIRECT OWNER
HAY, KATHLEEN RAFFERTYPRESIDENT5045127
GOODE, JACQUELINE MARIEFINOP1292607
GOODE, JACQUELINE MARIEPRINCIPAL FINANCIAL OFFICER1292607
JAMES, SHARICFO7516372
MARTENS, BARBARA LAUDISIPRINCIPAL OPERATIONS OFFICER2992393
MARTENS, BARBARA LAUDISICHIEF COMPLIANCE OFFICER2992393

Disclosures

Regulatory Event6

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.

Company Information

RAFFERTY CAPITAL MARKETS, LLC

CRD#: 23682

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