Rafferty Capital Markets, LLC (Garden City)

Name: Rafferty Capital Markets, LLC
Address: 59 Hilton Avenue, Garden City, NY, 11530
Telephone: 516-877-5300

Rafferty Capital Markets, LLC is a pension cosultant based in Garden City. It manages $13 million of regulatory assets for 160 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Florida and New York.

Rafferty Capital Markets provides financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and security ratings or pricing services. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Rafferty Capital Markets: assets under management

The assets under management (AUM) of Rafferty Capital Markets, LLC is $13 million. The company doesn't manage any assets belonging to foreign clients.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Rafferty Capital Markets, LLC for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Rafferty Capital Markets, LLC

Thomas Aloysius Mulrooney has been acting as President since 1 Mar 1996. Kathleen Mary Rafferty joined the executive team most recently as the Member.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Stephen Packard Sprague	Cfo, treasurer,& secretary	1 Aug 1994	Other	2516579
Thomas Aloysius Mulrooney	President	1 Mar 1996	Other	1263302
Llc Rafferty Holdings	Direct owner	1 Nov 2000	75% - 100%	13-4043855

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Lawrence Colin Rafferty	Member	1 Nov 2000	75% - 100%	1170304
Michael Lawrence Rafferty	Member	1 Nov 2000	Other	2363413
Kathleen Mary Rafferty	Member	1 Dec 2001	25% - 50%	xxx-xx-xxxx

Based in Garden City

The principal office where Rafferty Capital Markets, LLC performs its advisory services is located at 59 Hilton Avenue, Garden City, NY 11530, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 516-877-5300 or by fax 516-742-6935. The normal business hours are 8:30a - 6:00p on Monday - Friday. You can find more information about the New York firm at www.raffcap.com.