RAFFERTY CAPITAL MARKETS, LLC
CRD #23682 SEC #801-58216 GARDEN CITY, NY 516-877-5300
SEC Registered Broker-Dealer
Total AUM
$14M
Discretionary
$0
Employees
--
Clients
26
Accounts
180
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 20, 2002
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| MULROONEY, THOMAS ALOYSIUS | I | PRESIDENT | NA | Control |
| MULROONEY, THOMAS ALOYSIUS | I | PRESIDENT | NA | Control |
| SPRAGUE, STEPHEN PACKARD | I | CFO, TREASURER,& SECRETARY | NA | Control |
| SPRAGUE, STEPHEN PACKARD | I | CFO, TREASURER,& SECRETARY | NA | Control |
| RAFFERTY HOLDINGS, LLC | DE | DIRECT OWNER | E | Control |
| RAFFERTY HOLDINGS, LLC | DE | DIRECT OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| RAFFERTY, MICHAEL LAWRENCE | I | RAFFERTY HOLDINGS, LLC | F | |
| RAFFERTY, LAWRENCE COLIN | I | RAFFERTY HOLDINGS, LLC | E | Control |
| RAFFERTY, MICHAEL LAWRENCE | I | RAFFERTY HOLDINGS, LLC | D | |
| RAFFERTY, KATHLEEN, MARY | I | RAFFERTY HOLDINGS, LLC | C | |
| RAFFERTY, LAWRENCE COLIN | I | RAFFERTY HOLDINGS, LLC | C | Control |
Registrations
Federal
IA
Mar 20, 2002 REGISTERED
Notice Filings (2)
FL NY
Address
59 HILTON AVENUEGARDEN CITY, NY 11530
USA
Phone: 516-877-5300