Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Patrick Raftery is an active broker-dealer and investment advisor representative. John is a registered representative of RBC Capital Markets, LLC. John joined RBC Capital Markets, LLC on March 11, 2003, after previously working at U.S. BANCORP PIPER JAFFRAY INC., JOHN NUVEEN & CO., INCORPORATED, and HOWE BARNES INVESTMENTS, INC. John has been in the industry for over 26 years. John has passed the Series 7 and SIE exams.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
IL
03/11/2003 - Present
RBC Capital Markets, LLC (CHICAGO IL)
MN
09/17/1999 - 03/17/2003
U.S. BANCORP PIPER JAFFRAY INC. (MINNEAPOLIS MN)
IL
09/09/1998 - 09/16/1999
JOHN NUVEEN & CO., INCORPORATED (CHICAGO IL)
IL
10/21/1994 - 12/16/1996
HOWE BARNES INVESTMENTS, INC. (CHICAGO IL)
NY
08/16/1994 - 09/12/1994
GRUNTAL & CO. INCORPORATED (NEW YORK NY)
BC
Issued 08/19/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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